Compliance

OSC names new members of the SPAC

The Ontario Securities Commission has announced the updated membership of the Securities Proceedings Advisory Committee.

By Staff |January 31, 2017

1 min read

Industry

5 tips for competing as a small, independent dealer

Dozens of small firms have either gone out of business or been swallowed up by acquisitions in recent years.

By Simon Doyle |January 30, 2017

4 min read

Industry

CSA aims to improve proxy voting processes

The Canadian Securities Administrators has published CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols.

By Staff |January 27, 2017

1 min read

Industry

Simple checklists not enough to assess advisor value

As investors receive more info about fees, they'll look for tools to help them decide if you're worth it.

January 27, 2017

3 min read

Investors want a best interest standard

01. Investor and advocate comments on CSA proposal 33-404 Investors support CSA’s proposed regulatory standard for advisors to act in the clients’ best interest, saying the current suitability and disclosure standards aren’t good enough. While some investors support the proposed securities regulatory standard, others are pushing for a statutory rule. The OSC Investor Advisory Panel’s […]

January 27, 2017

4 min read

Conflict of interest leads to $20,000 fine, suspension from MFDA

A hearing panel of the Prairie Regional Council of the Mutual Fund Dealers Association of Canada has issued its Reasons for Decision in connection with a disciplinary hearing held in Calgary, Alberta on October 26, 2016 in the matter of Sharon June Fauth.

By Staff |January 25, 2017

2 min read

28% of B.C. clients don’t know how advisors are paid

Just in time for RRSP season, many investors will receive new information about the fees they pay for investments and advice, courtesy of CRM2 fee disclosure regulations. In preparation, the British Columbia Securities Commission launched its Take a Look campaign last October, intended to encourage investors to pay attention to the fees they pay. According […]

By Staff |January 23, 2017

2 min read

Compliance

OSC names new members of the SPAC

5 tips for competing as a small, independent dealer

CSA aims to improve proxy voting processes

Simple checklists not enough to assess advisor value

Investors want a best interest standard

MFDA fines two firms over supervision failures

Conflict of interest leads to $20,000 fine, suspension from MFDA

MFDA issues several fines and sanctions

28% of B.C. clients don’t know how advisors are paid

OBSI to explore naming and shaming alternatives