Incorrect registration nets $20,000 penalty
Proposed registration requirements would include passing a qualification exam
Picking up investment commissions on the side will be harder for professionals such as accountants
The Canadian Securities Administrators has granted a series of exemptions from registration requirements introduced as part of the registration reform that was implemented last fall.CSA Staff Notice 31-315 notice summarizes the orders, which will take effect on February 26.In the notice, the CSA explains that since the registration reform came into force it has received […]
Investors encouraged to check the registration of a financial advisor or firm or
List created in response to public enquiries
Lack of registration requirement can lead to big losses on risky ventures
Another layer of regulation would not improve the current structure for advisors, Cowdery says
Three unique experiences lead some to ask: shouldn’t a company be required to register once it reaches a certain size?
MFDA members in Ontario and Newfoundland given 2-year transition period