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MFDA earns clean bill of health from CSA

Former issues of false signatures and firm discipline resolved

BMO GAM’s Ross Kappele elected IFIC chairman

Board re-appoints Marianne Harris as chairwoman; Paul Allison appointed vice chairman

Canadian insurance regulators focus on three key priorities

The SRO will also look at regulation of robo-advisors and continue to focus on increasing its enforcements efforts

New Alberta law to give SROs greater powers

IIROC and the MFDA would be given the power to compel evidence and the ability to compel the production of documents and records

Fees for government securities dealers under the new model apply starting on Saturday and the fees for other dealers will begin July 1

The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations

IFIC campaign encourages investors to open their statements

This year’s compliance exams will focus on suitability and KYC issues as well as the new cost and performance reporting requirements under CRM2

Adoption of big regulatory changes must avoid unintentional harm

The SRO has laid out its priorities for 2017 in a notice published on Thursday

Licensing standards and continuing education to be studied

BMO GAM’s Ross Kappele elected IFIC chairman

The SRO’s members also approved proposed changes to its rules regarding trading authority and powers of attorney at its AGM