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Keyword: Mutual fund dealers

161 results found
Judge's gavel with magnifying glass on black.

CIRO, CSA to publish joint report on CFR sweep in first half

Fork in the road

After consultation, SRO cuts proposed new dealer application fees

Business lawyer team. Working together of lawyer in the meeting.

Firms failed to ensure that investors got fund fee rebates, waivers

A creative woman asking a question at the office

SRO sets out common requirements, contemplates shift to annual CE cycle

penalty card

Rep circumvented registration limits to trade wider range of securities

AI computer

CSA issues new guidance, consults on possible future reforms to address AI advances

U.S. efforts to undo regulatory reforms likely to be limited: Russell

Proposals aim to boost investor protection around proprietary fund sales

Piggy banks on stacks of gold coins

Regulators cite concerns about high-pressure sales tactics in bank branches

Dividing groups

OSC to delegate registration to CIRO, rest of CSA considering it too

Fraud

Leverage strategy deployed on the down low resulted in hefty financial losses