Investor Forum marks second meeting between regulators and investors
Proposed agreement concerned allegations that Berkshire failed to conduct reasonable supervisory investigations of the activities of former rep Thow
Regulator requires a written contract between corporation and dealer
Relief issued by four provinces so far
Notice MR-0064 aims to clarify the obligations of dealers and reps
NBSC to take another look at personal corporations rule
Deadline for applications is September 28
Summary of changes posted to FINTRAC Web site
Proposal allows a panel to consist of two members if an industry representative is unable to continue serving on the panel
The Mutual Fund Dealers Association of Canada is proposing policy amendments designed to clarify firms’ obligations when handling client complaints.The proposed amendments to the MFDA’s current policy aim to, “provide guidance with respect to the standards that members should have in place regarding complaint handling and supervisory investigations.” The current policy requires members to establish […]