Regulatory fees – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Apr 2024 21:18:35 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Regulatory fees – Investment Executive https://www.investmentexecutive.com 32 32 CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

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]]> OSC hikes fees for crypto firms https://www.investmentexecutive.com/news/from-the-regulators/osc-hikes-fees-for-crypto-firms/ Fri, 19 Apr 2024 16:17:50 +0000 https://www.investmentexecutive.com/?p=484368 Regulator adopts new charges to cover added costs on overseeing crypto sector

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]]> CIRO approved as credentialing body under Ontario title protection https://www.investmentexecutive.com/news/industry-news/ciro-approved-as-credentialing-body-under-ontario-title-protection/ Tue, 23 Jan 2024 20:56:57 +0000 https://www.investmentexecutive.com/?p=479101 Improved proficiency for financial advisors still on the table amid persistent demand

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]]> How dealers are managing advisor fees as costs rise https://www.investmentexecutive.com/news/industry-news/how-dealers-are-managing-advisor-fees-as-costs-rise/ Tue, 21 Nov 2023 15:10:13 +0000 https://www.investmentexecutive.com/?p=475471 Firms are puzzling out how to balance significant overhead costs with advisor support

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]]> OSC seeks new fees for crypto firms https://www.investmentexecutive.com/news/from-the-regulators/osc-seeks-new-fees-for-crypto-firms/ Thu, 09 Nov 2023 19:30:45 +0000 https://www.investmentexecutive.com/?p=474929 Added costs of registering crypto platforms drives new tariffs

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]]> With complaints soaring, OBSI fees set to climb https://www.investmentexecutive.com/news/from-the-regulators/with-complaints-soaring-obsi-fees-set-to-climb/ Fri, 13 Oct 2023 18:53:36 +0000 https://www.investmentexecutive.com/?p=473356 Banks to bear the brunt of fee increase, as case volumes jump

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]]> With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://www.investmentexecutive.com/news/from-the-regulators/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:12 +0000 https://www.investmentexecutive.com/?p=472211 Fees for investment dealers to rise 6.4%, annual report says

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]]> FSRA publishes final fee rule for its sectors https://www.investmentexecutive.com/news/industry-news/fsra-publishes-final-fee-rule-for-its-sectors/ Tue, 19 Sep 2023 20:29:43 +0000 https://www.investmentexecutive.com/?p=471889 The rule includes the regulator's fee calculations for credentialing bodies

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]]> Ontario seeks to expand OSC sanctions spending https://www.investmentexecutive.com/news/from-the-regulators/ontario-seeks-to-expand-osc-sanctions-spending/ Tue, 22 Aug 2023 20:19:10 +0000 https://www.investmentexecutive.com/?p=470401 Proposal would allow enforcement money to be used for IT projects and new innovation office

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]]> CIRO to align compliance operations https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-align-compliance-operations/ Thu, 01 Jun 2023 17:01:24 +0000 https://www.investmentexecutive.com/?p=466699 Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work

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