Mutual fund dealers – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Apr 2024 21:18:35 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

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]]> Retail investor issues get top billing on IOSCO agenda https://www.investmentexecutive.com/news/from-the-regulators/retail-investor-issues-get-top-billing-on-iosco-agenda/ Mon, 15 Apr 2024 18:00:33 +0000 https://www.investmentexecutive.com/?p=483759 Broker conflicts, finfluencers, gamification among regulators' priorities

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]]> Fund rep’s side hustle results in ban, fine https://www.investmentexecutive.com/news/from-the-regulators/fund-reps-side-hustle-results-in-ban-fine/ Thu, 11 Apr 2024 18:57:49 +0000 https://www.investmentexecutive.com/?p=483585 Clients lost more than $1.5 million on rep's failed fintech venture

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]]> Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

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]]> Fund dealer chief sanctioned for misleading SRO https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-chief-sanctioned-for-misleading-sro/ Fri, 05 Apr 2024 19:09:37 +0000 https://www.investmentexecutive.com/?p=483275 Terms of firm's sale weren't fully disclosed to regulators

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]]> CIRO gets clean bill of health from CSA https://www.investmentexecutive.com/news/from-the-regulators/ciro-gets-clean-bill-of-health-from-csa/ Thu, 28 Mar 2024 20:34:10 +0000 https://www.investmentexecutive.com/?p=482950 First oversight review finds SRO complying with recognition order

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]]> AMF issues complaint handling rules https://www.investmentexecutive.com/news/from-the-regulators/amf-issues-complaint-handling-rules/ Wed, 28 Feb 2024 21:29:37 +0000 https://www.investmentexecutive.com/?p=481255 CIRO firms exempt from new standards for Quebec financial firms

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]]> CIRO arms firms to face ransomware attacks https://www.investmentexecutive.com/news/from-the-regulators/ciro-arms-firms-to-face-ransomware-attacks/ Tue, 20 Feb 2024 20:13:33 +0000 https://www.investmentexecutive.com/?p=480749 SRO publishes playbook for dealing with growing cyber threat

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]]> Investors blindly trust advisors, FAIR Canada finds https://www.investmentexecutive.com/news/from-the-regulators/investors-blindly-trust-advisors-fair-canada-finds/ Tue, 30 Jan 2024 16:57:01 +0000 https://www.investmentexecutive.com/?p=479478 Study participants preferred to rely on the knowledge of professionals rather than learn about investing

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]]> Small firms need living wills: OSC https://www.investmentexecutive.com/news/from-the-regulators/small-firms-need-living-wills-osc/ Fri, 26 Jan 2024 19:25:30 +0000 https://www.investmentexecutive.com/?p=479360 Regulator calls for continuity plans at one-man shops

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