Costs from a new self-regulatory organization for investment advisors could force many small firms to close
Limited oversight of compensation and governance issues
A case underway before the MFDA shows how the divvying up of regulation may compromise investors
The changes are being put forward in response to the provincial securities regulators’ registration reform rules
Only about 50% of sanctions ever collected
Policy-makers are set to continue refining the new capital requirements that will affect all global banks with the introduction of the Basel III capital regime, which will start taking effect next year
The agreement is intended to bolster market oversight by helping the regulators share information
National and provincial regulators will have more to deal with in 2012 than they’ve had in quite some time
The goal is raise public awareness of the advantages of working with an IIROC-regulated firm and advisor