IIROC will continue to work with CSA on proposed targeted reforms to harmonize rules on embedded commissions and other dealer regulations, the SRO’s annual report says. IIROC released its annual report for 2017-18, highlighting the SRO’s progress in the second year of its three-year strategic plan. The plan’s goal is to better protect investors and […]
An Alberta man was criminally charged with fraud and theft related to an alleged investment fraud, the Alberta Securities Commission and Alberta RCMP said Monday. Shaun Wayne Howell, from Drayton Valley, Alta., was charged with three counts of fraud and three counts of theft over $5,000, the ASC said in a release. The regulator and […]
Neil Gross will replace outgoing chair Letty Dewar
Aim is to create client awareness about SRO
Most advisors co-invest with their clients, but many are underperforming
Participation and activity fees will stay the same for the next two years, the OSC said Thursday. Participation fees pay for regulatory services while the flat-rate activity fees cover the costs of reviewing regulatory documents. The rates for both will stay the same for the next two-year period beginning April 1. Market participants fund the […]
Find out which investor complaint is up significantly
Title reform is catching on inside the SEC as a simple solution that would be straightforward to implement as the regulator moves toward a proposal for a new fiduciary standard, Investment News reported. Title reform would draw a line between brokers and investment advisors (and advisers), limiting who can use the latter title to those […]
Sanctions total $485,000
New platform would use digital tokens to make trades in real time