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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

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