SRO sets out regulatory agenda for year ahead
Regulators lament shrinking shelves, eroding support for junior issuers
Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff
Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance
SRO launches review of policy framework for the provision of advice
OSC had previously placed restrictions on the man as a mutual fund rep and volunteer minister
Review documents failings in meeting KYC, KYP, suitability requirements
Regulator publishes draft priorities, highlighting competitive concerns
Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge
But banks’ big mutual fund fees are, investor advocate says