IIROC’s president and CEO Andrew Kriegler made it clear today that IIROC has no intention of backing off its push to get new and more effective enforcement powers, including court authority to collect fines.
IIROC has published final rule amendments that set out requirements for IIROC Dealer Members to disclose that they are regulated by IIROC and link their websites directly to IIROC's searchable database of advisors working for these firms.
Following a penalty hearing held on May 16, 2016 in Toronto, Ontario, a hearing panel of the Investment Industry Regulatory Organization of Canada imposed penalties on Kim Husebye.
In a settlement agreement with the British Columbia Securities Commission, HSBC Investment Funds (Canada) Inc. and HSBC Private Wealth Services (Canada) Inc. have agreed they charged excess fees in some client accounts.
Industry commenters say they want to deal with CRM2 before taking on the best interest standard. But OSC will push ahead.
Last week IIROC released an updated version of its CRM2 FAQs. Get up to speed on the SRO's requirements.
And investigators reveal whom they're working with.
Watchdogs focus on suitability, complex products and supervision.
The OSC wants you to complete the 2016 Risk Assessment Questionnaire.
The Canadian Council of Insurance Regulators has published two papers for public consultation, one of which is its Segregated Funds Issues Paper.