The Ontario Securities Commission’s independent advisor panel is continuing to lobby for eliminating embedded mutual fund fees, and it says evidence in the UK shows the new fee model is working.
IIROC and Dundee have reached a settlement agreement.
Standard Life has hired two new executives, expanding its group insurance and industry liaison teams.
The Ontario Securities Commission is adding four new sessions to its Registrant Outreach program, which helps advisors strengthen their compliance practices.
IIROC published proposed guidance to expand the single-stock circuit breaker program to further mitigate market volatility. It’s looking for industry comment on its proposal.
The Ontario Securities Commission has charged Torontonian David Borg with an alleged breach of the Securities Act following an investigation by its joint serious offences team.
Regulators dish on big topics at industry conference
Uncertainty about protected areas and environmental restrictions, combined with increased regulation and tax changes, has damaged Quebec’s mining, says a report by the Fraser Institute.
Industry players sound off on impending fee regulation.
New regulations mean advisors must bring the A-game.