Changes make the process more streamlined and accessible to users
CETFA and IFIC say regulators need to do more research investor concerns to discover whether or not those issues are being addressed by current regulation
The value of disgorgement, restitution and compensation ordered jumps to $120.6 million
The creation of a new registration category has been scrapped. New rules will be put in place to restrict the activities of EMDs
CSA calls on securities industry to participate
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