Registrant Advisory Committee calls for new members
Inquiry follows exam cheating scandal, other auditor misconduct
The CSA is reviewing distribution arrangements for in-house funds
Three in 10 investors were overconfident about their investment knowledge, but women and investors with advisors tended to be underconfident
CSA demands pre-registration undertakings from firms to protect investors
Regulators to prep industry for forthcoming conduct regime
Following CBCA changes and CSA discussions, the government is consulting on requirements for federal-sector firms
Enforcement penalties will be used to help fund the new SRO
Pair ordered to pay $3.3 million in fines, costs and disgorgement
PwC was also given a procedure to identify and quantify the claims from other Bridging investors