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Keyword: Regulatory burden

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But the industry trade group is calling on the regulator to keep fees in check

  • By: IE Staff
  • July 29, 2019 August 15, 2019
  • 15:25
businessman heavy workload sleep at office desk with finance sheet calculator and coffee.

Decision is effective immediately

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Companies will be able to ask the regulator to review their disclosure before they file a prospectus

compliance solutions rubber stamp

The change will result in more than $700K of savings for registrants

xhausted businessman dragging heavy chains

A special advisor to the commission shares how the OSC might shift its approach

Stacked white books on rules and regulations

Two open discussion sessions are scheduled for May

compliance puzzle

Lower compliance costs will allow advisors to better serve smaller investors

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Proposed framework would require planners and advisors to have an "appropriate credential"

xhausted businessman dragging heavy chains

Major industry groups, SROs and investor advocates are expected to participate in the roundtable

Stacked white books on rules and regulations

Initial feedback to proposals generally positive