Loss of third-party fund distribution seen as “unintended consequence” in 2018
FSRA's consultation also includes insurers' related obligations to ensure agent suitability
Fees as a share of industry revenues and profits have continued to decline
Valuations, inflation, investor exuberance top European regulators' concerns
The SRO has elected to maintain more prescriptive guidance around KYC reviews
The regulator issued more administrative sanctions in 2020–21 than the previous year but monetary sanctions were way down
On a pilot basis, businesses in Alberta and Saskatchewan will be able to raise public capital more easily
One weak area was application processing for prospective mortgage brokers and insurance agents
The SEC has awarded US$2.6 million to an assortment of whistleblowers
An independent third party will review law firms’ applications and make recommendations