New rules that require CSA-regulated firms to sign on with the dispute-resolution service will see its membership double
Thanks largely to strong equities markets, mutual funds are enjoying a resurgence. And for Canada’s mutual fund dealers, the growth has been even headier. Canadian mutual fund assets under management (AUM) topped $1 trillion for the first time earlier this year. And according to Investment Executive’s (IE) 2014 Dealers’ Report Card, mutual fund dealers are […]
Drop supports low default rate forecast
378 exemptions from proficiency requirements granted
Proposed amendments designed to streamline disclosure requirements so venture issuers can focus more on the growth of their businesses
Investor Advisory Panel calls on OSC to address refusals by firms to accept the Ombudsman’s recommendations
Binary options firm not registered
Employer discovered issues with handling of client funds
Hearing to consider allegations of unregistered selling of securities by Ontario-based Powerwater and its CEO