“We can’t answer the questions that clients are asking,” dealer says
SRO proposes consolidated rulebook, alongside end to dual registration
Date not reasonable for industry implementation, tax practitioner says
For dealers, preparing for compliance will include reviewing agreements with fund managers
New $300 fee per rep set to take effect April 1
Firms weigh in on what CRA’s new stance on trailing commissions means for dealers, advisors and fund managers
Dealers, advisors brace for July 1 implementation deadline
SRO launches review of policy framework for the provision of advice
Review documents failings in meeting KYC, KYP, suitability requirements
Final consultation on merged dealer rules will get 120-day comment period