Regulation

IIROC signs MOU with the Alberta Insurance Council

January 26, 2017 IE Staff
Western Financial Group names new CEO

CSA cuts trading fee cap on domestic securities

January 26, 2017 James Langton

New CSA protocols aim to enhance the integrity of the proxy voting process

January 26, 2017 James Langton
BMO GAM’s Ross Kappele elected IFIC chairman

OSC names inaugural members to Fintech Advisory Committee

January 26, 2017 James Langton
Rise of fintech includes many future risks, FSB says

Canadian sentenced to jailed in the U.S. for role in fraud scheme

January 25, 2017 James Langton

New MFDA paper provides guidance on suitability

January 25, 2017 James Langton

Australian regulators seek to streamline market integrity rules

January 24, 2017 James Langton

B.C. life insurance agent suspended for five years

January 23, 2017 James Langton

SEC awards three whistleblowers US$7 million

January 23, 2017 James Langton

Investors have much to learn about investment fees, BCSC study finds

January 23, 2017 James Langton
IAP calls on regulators to eliminate embedded compensation

Advisors’ training for risk assessments should be boosted, IAP recommends

January 23, 2017 James Langton
Risks faced by retired clients

DoJ reaches US$50-million settlement with Société Générale

January 20, 2017 James Langton