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Stacked white books on rules and regulations

Regulator reports that it received 324 proficiency exemption applications last year

business people standing in line under a magnifying glass

An oversight review from CSA notes only two low- and medium-priority issues, which are being addressed

Judge gavel, scales of justice and law books in court

Amendments will allow IIROC and the MFDA to enforce penalties as court orders

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The SRO is looking to deal with certain cases more quickly

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

The proposals aim to provide faster resolution and allow the SRO to focus resources on more serious cases

Are firms shifting clients into lower-cost funds as appropriate?

The helpline aims to provide immediate answers on basic compliance questions

OSFI proposes revisions to capital rules for life insurers

IIROC seeks input on changes to plain language rulebook

BMO GAM’s Ross Kappele elected IFIC chairman

Mutual fund dealers also approved a requirement for firms to disclose their membership in the MFDA to clients

  • December 1, 2017 December 1, 2017
  • 12:20

IIROC proposal raises concerns