A best interest standard would provide a consistent and overarching standard.
Ahead of Financial Literacy Month, the Investment Industry Regulatory Organization of Canada is promoting its advisor check database.
CSA needs to clarify the benefits and costs of its proposed targeted reforms and best interest standard.
FPSC suggested the title “representative” could be used for some professionals who haven’t received financial planning proficiencies.
The SEC has charged the former senior director of regulatory affairs for Puma Biotechnology with insider trading ahead of the company’s news announcements about its drug to treat breast cancer.
Kennedy, who works in Hamilton, Ont., admitted to conduct involving the supervision of registered representative Alistair Melville’s activities.
Securities regulators across the country have published CSA Multilateral Staff Notice 91-305, which answers frequently asked questions about derivatives and offers guidance on derivatives reporting obligations.
PMAC predicts a regulatory best interest standard wouldn’t be adopted Canada-wide.
For September 28, 2016, the OSC's Investor Advisory Panel is jointly organizing a risk assessment roundtable with the OSC Investor Office.
The proposed amendments are primarily aimed at developing a more comprehensive regulatory framework for publicly offered alternative funds