Regulatory fees | Investment Executive https://www.investmentexecutive.com/tag/regulatory-fees/ Canada's news source for financial professionals Wed, 12 Nov 2025 18:41:50 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Regulatory fees | Investment Executive https://www.investmentexecutive.com/tag/regulatory-fees/ 32 32 CIRO to change how it funds registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-change-how-it-funds-registration/ Thu, 09 Oct 2025 05:51:41 +0000 https://www.investmentexecutive.com/?p=522256 Large fund dealers, with high rep numbers, to bear brunt of higher annual fee

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]]> CIRO determines cost for its new proficiency exams https://www.investmentexecutive.com/news/from-the-regulators/ciro-determines-cost-for-its-new-proficiency-exams/ Mon, 14 Jul 2025 21:39:21 +0000 https://www.investmentexecutive.com/?p=515179 The regulator says the new exam fees will lower the cost of licensing in Canada

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]]> FINRA rebating regulatory fees https://www.investmentexecutive.com/news/from-the-regulators/finra-rebating-regulatory-fees/ Wed, 02 Jul 2025 16:47:27 +0000 https://www.investmentexecutive.com/?p=514174 Stronger than expected revenues enables SRO to return US$50 million to brokers

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]]> FCA aims to be a smarter, pro-growth regulator https://www.investmentexecutive.com/news/from-the-regulators/fca-aims-to-be-a-smarter-pro-growth-regulator/ Tue, 08 Apr 2025 20:34:34 +0000 https://www.investmentexecutive.com/?p=506585 New agenda outlines plans to curb compliance burden, facilitate innovation

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]]> New CIRO fee model gets OSC approval https://www.investmentexecutive.com/news/from-the-regulators/new-ciro-fee-model-gets-osc-approval/ Thu, 30 Jan 2025 20:38:35 +0000 https://www.investmentexecutive.com/?p=501348 After consultation, SRO cuts proposed new dealer application fees

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]]> CSA set to hike SEDAR, NRD fees https://www.investmentexecutive.com/news/from-the-regulators/csa-set-to-hike-sedar-nrd-fees/ Thu, 21 Nov 2024 19:34:59 +0000 https://www.investmentexecutive.com/?p=497161 Dramatic revenue increase needed to keep pace with systems costs: regulators

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]]> FINRA poised to hike brokers’ fees https://www.investmentexecutive.com/news/from-the-regulators/finra-poised-to-hike-brokers-fees/ Tue, 12 Nov 2024 20:46:54 +0000 https://www.investmentexecutive.com/?p=496555 Fee increase to be phased in over five years, bring projected revenues in line with expenses

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]]> Venture markets reporting mixed success https://www.investmentexecutive.com/news/research-and-markets/venture-markets-reporting-mixed-success/ Tue, 24 Sep 2024 17:55:34 +0000 https://www.investmentexecutive.com/?p=493339 Emerging markets driving growth in junior stocks, WFE research finds

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]]> CIRO sees swing to deficit in fiscal 2025 https://www.investmentexecutive.com/news/from-the-regulators/ciro-sees-swing-to-deficit-in-fiscal-2025/ Thu, 19 Sep 2024 13:00:35 +0000 https://www.investmentexecutive.com/?p=493050 Integration costs to be paid by 2027, SRO projects

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]]> Dealers question lack of cost savings under CIRO’s proposed fee model https://www.investmentexecutive.com/news/from-the-regulators/dealers-question-lack-of-cost-savings-under-ciros-proposed-fee-model/ Thu, 04 Jul 2024 19:06:29 +0000 https://www.investmentexecutive.com/?p=488805 Consultation highlights industry concerns

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