Mutual fund dealers | Investment Executive https://www.investmentexecutive.com/tag/fund-dealers/ Canada's news source for financial professionals Wed, 17 Dec 2025 19:30:33 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mutual fund dealers | Investment Executive https://www.investmentexecutive.com/tag/fund-dealers/ 32 32 CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> CIRO to issue final dealer rules in February https://www.investmentexecutive.com/news/ciro-to-issue-final-dealer-rules-in-february/ Wed, 03 Dec 2025 22:32:17 +0000 https://www.investmentexecutive.com/?p=526952 Final consultation on merged dealer rules will get 120-day comment period

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]]> Manitoba regulator upholds CIRO enforcement rulings https://www.investmentexecutive.com/news/manitoba-regulator-upholds-ciro-enforcement-rulings/ Fri, 28 Nov 2025 20:59:28 +0000 https://www.investmentexecutive.com/?p=526585 MSC finds no error with panel's findings against former fund rep

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]]> Trade, geopolitics loom large in OSC’s agenda https://www.investmentexecutive.com/news/trade-geopolitics-loom-large-in-oscs-agenda/ Fri, 28 Nov 2025 19:56:55 +0000 https://www.investmentexecutive.com/?p=526550 Regulator publishes draft priorities, highlighting competitive concerns

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]]> ESMA finds fund distribution is costly https://www.investmentexecutive.com/news/from-the-regulators/esma-finds-fund-distribution-is-costly/ Thu, 06 Nov 2025 21:28:19 +0000 https://www.investmentexecutive.com/?p=524836 Costs vary by distributor, fund and asset type, regulators conclude

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]]> CIRO awaiting CRA feedback on advisor corporations https://www.investmentexecutive.com/news/ciro-awaiting-cra-feedback-on-advisor-corporations/ Wed, 29 Oct 2025 17:34:55 +0000 https://www.investmentexecutive.com/?p=523998 SRO crafting model to allow reps to use personal corporations

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]]> Court upholds terms of dealer non-compete https://www.investmentexecutive.com/news/court-upholds-terms-of-dealer-non-compete/ Tue, 28 Oct 2025 19:13:03 +0000 https://www.investmentexecutive.com/?p=523833 Motion judge made no error in finding dealer entitled to fee refund, appeal court says

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]]> CIRO shelves client data project https://www.investmentexecutive.com/news/ciro-shelves-client-data-project/ Wed, 22 Oct 2025 16:34:22 +0000 https://www.investmentexecutive.com/?p=523324 Regulator puts twice-delayed research effort on backburner

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]]> BCSC to join CIRO registration delegation https://www.investmentexecutive.com/news/bcsc-to-join-ciro-registration-delegation/ Fri, 17 Oct 2025 17:11:23 +0000 https://www.investmentexecutive.com/?p=522904 Move would give SRO full responsibility for registering dealers, reps

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