Financial Services Regulatory Authority of Ontario – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 18 Apr 2024 20:07:19 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Services Regulatory Authority of Ontario – Investment Executive https://www.investmentexecutive.com 32 32 FSRA disciplinary disclosure faces legal challenge https://www.investmentexecutive.com/news/from-the-regulators/fsra-disciplinary-disclosure-faces-legal-challenge/ Thu, 18 Apr 2024 20:07:19 +0000 https://www.investmentexecutive.com/?p=484297 Ontario court allows bid for judicial review of enforcement practices

The post FSRA disciplinary disclosure faces legal challenge appeared first on Investment Executive.

]]> FSRA takes enforcement action against MGA https://www.investmentexecutive.com/news/from-the-regulators/fsra-takes-enforcement-action-against-mga/ Fri, 05 Apr 2024 19:22:55 +0000 https://www.investmentexecutive.com/?p=483257 Regulator suspends firm and agents amid alleged misconduct

The post FSRA takes enforcement action against MGA appeared first on Investment Executive.

]]> FSRA to launch questionnaires on risk and business practices https://www.investmentexecutive.com/news/from-the-regulators/fsra-to-launch-questionnaires-on-risk-and-business-practices/ Mon, 04 Mar 2024 20:50:34 +0000 https://www.investmentexecutive.com/?p=481502 Provincial regulator is attempting to identify hidden risks and set a baseline for business practices

The post FSRA to launch questionnaires on risk and business practices appeared first on Investment Executive.

]]> FSRA pegs ‘stranded’ pension plans at more than $3 billion https://www.investmentexecutive.com/news/from-the-regulators/fsra-pegs-stranded-pension-plans-at-more-than-3-billion/ Thu, 29 Feb 2024 15:10:39 +0000 https://www.investmentexecutive.com/?p=481305 Almost 200,000 pension plan members in Ontario have lost track of their plans, regulator says

The post FSRA pegs ‘stranded’ pension plans at more than $3 billion appeared first on Investment Executive.

]]> FSRA tightens LLQP exam-taking process https://www.investmentexecutive.com/news/from-the-regulators/fsra-tightens-llqp-exam-taking-process/ Wed, 07 Feb 2024 20:33:26 +0000 https://www.investmentexecutive.com/?p=480082 Regulator adopts tougher penalties for cheating, restrictions on rewriting

The post FSRA tightens LLQP exam-taking process appeared first on Investment Executive.

]]> FSRA tightens the screws on seg fund DSCs https://www.investmentexecutive.com/news/from-the-regulators/frsa-tightens-the-screws-on-seg-fund-dscs/ Tue, 09 Jan 2024 16:24:18 +0000 https://www.investmentexecutive.com/?p=478284 New measures address the use of DSCs with existing contracts

The post FSRA tightens the screws on seg fund DSCs appeared first on Investment Executive.

]]> Quicker consults for OSC, FSRA now law https://www.investmentexecutive.com/news/from-the-regulators/quicker-consults-for-osc-fsra-now-law/ Fri, 15 Dec 2023 16:16:43 +0000 https://www.investmentexecutive.com/?p=477392 Change follows a report from the auditor general that found the rule-making process "exceedingly slow"

The post Quicker consults for OSC, FSRA now law appeared first on Investment Executive.

]]> Cutting consultations won’t cut red tape: IIAC https://www.investmentexecutive.com/news/from-the-regulators/cutting-consultations-wont-cut-red-tape-iiac/ Fri, 01 Dec 2023 17:14:22 +0000 https://www.investmentexecutive.com/?p=476383 Trade group pushes back on Ontario's plan to shorten regulatory comment periods

The post Cutting consultations won’t cut red tape: IIAC appeared first on Investment Executive.

]]> FSRA proposes guidance on life agent fitness https://www.investmentexecutive.com/news/from-the-regulators/fsra-proposes-guidance-on-life-agent-fitness/ Wed, 22 Nov 2023 18:06:10 +0000 https://www.investmentexecutive.com/?p=475869 Draft guidance forms part of larger effort to improve industry conduct

The post FSRA proposes guidance on life agent fitness appeared first on Investment Executive.

]]> Many clients adjusting financial plans as they struggle with monthly costs https://www.investmentexecutive.com/news/research-and-markets/many-clients-adjusting-financial-plans-as-they-struggle-with-monthly-costs/ Mon, 06 Nov 2023 21:52:26 +0000 https://www.investmentexecutive.com/?p=474616 Survey shows the effects of inflation and higher borrowing costs

The post Many clients adjusting financial plans as they struggle with monthly costs appeared first on Investment Executive.

]]>