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Proposed changes include a requirement to report information security breaches


Craig Hayman was appointed to a two-year term

  • By: IE Staff
  • April 18, 2019 April 18, 2019
  • 15:09
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Regulators for several provinces announced an agreement with the FCA on Friday

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The changes are to be phased in over two years, starting later this year

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Two open discussion sessions are scheduled for May

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Proposed framework would require planners and advisors to have an "appropriate credential"

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The firm has agreed to a $100,000 fine, along with other conditions

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The regulator says it will continue to work with the CSA on deferred sales charges and trailers to discount brokers

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IAP wants regulatory sanctions against individuals to apply across regional and industry jurisdictions

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Major industry groups, SROs and investor advocates are expected to participate in the roundtable