Proposal to be unveiled by the end of April 2009
Mutual fund managers would need to register with AMF
Proposal allows regulator to suspend a license based on gossip, Chouinard says
New deadline is Dec. 29
Reps now have 30 months to complete one of two courses to maintain their registration
New phase of passport model will simplify regulatory processes, St-Gelais says
New registration category would result in firms bypassing industry SRO
The government of Ontario has published for comment the draft amendments that are required to implement registration reform.On February 29, the Canadian Securities Administrators published the latest version of proposed registration reforms for a second comment period. In the notice accompanying the publication, the Ontario Securities Commission indicated that amendments to securities legislation would be […]
Although the proposal promises sweeping changes, a couple of the industry’s major complaints have not been addressed
Changes address concerns of stakeholders, regulators say