The CSA will be proposing rule amendments to prohibit EMDs from providing brokerage services
NSSC’s Sarah Bradley appoint new vice chairwoman
System fees to decline for SEDAR, SEDI and NRD
Experience at an investment dealer may not qualify an applicant for AR registration at a portfolio manager
Trailing commissions have become more important to advisors
New “plan summary” is designed to provide investors with key information in a simple, plain language format
Advisors are increasingly relying on trailing commissions as a source of revenue
Changes designed to ensure the effective management of risks associated with electronic trading
Notice outlines proposed rules for reporting derivatives trades to trade repositories
Investors will benefit from common standards for securities industry dispute resolution, regulators say