How the new self-regulatory organization will handle fees, advisor incorporation, rule harmonization and more
Fund dealers, investment dealers approve merger, with new SRO to launch in 2023
Proposals would allow fund managers to post financial statements and management reports on designated websites
Dealers will vote Sept. 29 on the fate of the IIROC-MFDA merger
The CSA is reviewing distribution arrangements for in-house funds
Report highlights size of portfolio decarbonization challenge
Fees, expenses surging ahead of IIROC-MFDA amalgamation
CSA demands pre-registration undertakings from firms to protect investors
Regulators to prep industry for forthcoming conduct regime
The feds are consulting on virtual meetings and "access equals delivery" in the financial sector