PlanPlus’s Shawn Brayman honoured for research into risk profiling, and its role in the advice process in Canada
Her areas of expertise include strategy and delivery, tribunal administration and regulatory governance
Court rules against the Ontario Securities Commission
SEAC advises OSC staff on policy and operational issues concerning older investors
ETF expenses not included in the calculations of MERs and TERs
The pair have both been sentenced to three months in jail, followed by 18 months of probation and 125 community service, according to the OSC
The increase in revenue was due primarily to the impact of new fee rules, particularly higher participation fees
Gaudet, whom the OSC had banned permanently in 1991, admitted to trading without registration and issuing securities without a prospectus
Mackenzie and Quadrus will not have to deliver the document to clients if they’re in a program that automatically switches them to a lower-fee series
Polina Edry and Subramaniam Sulur were both fined, sentenced to community service and probation after pleading guilty for purchasing contact information of new mothers