Compliance

Mutual fund fees under fire Fallback Image Decorative pattern

Industry

Mutual fund fees under fire

Compliance roundup

By Allan Tong |September 18, 2015

4 min read

How to do product due diligence Fallback Image Decorative pattern

Industry

How to do product due diligence

Here’s how you can supplement your firm’s process.

By Jonathan Heymann |July 13, 2015

3 min read

Alberta to reciprocate sanctions automatically Fallback Image Decorative pattern

Industry

Alberta to reciprocate sanctions automatically

A new section of the Securities Act (Alberta) will require that most settlements made by other Canadian securities regulators are automatically put into effect in Alberta as well.

July 2, 2015

4 min read

OSC wants a more transparent fixed-income market Fallback Image Decorative pattern

Industry

OSC wants a more transparent fixed-income market

Compliance roundup

By Allan Tong |June 26, 2015

5 min read