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
Dorchester Investment agrees to pay $40,000 fine
Regulator finds non-registered individuals providing account services and advice to clients
Review of all submissions will be performed by IDA staff
Registration applicants could be exempt from the 30-day or 90-day training programs if they meet certain criteria
Investment fund managers would be required to register
Function allows searches of firms and individuals
NASAA to cut system fees paid by investment advisor reps