This week’s hearing stems from allegations Sentry violated the sales practices rules when it held a mutual fund conference in California
Maureen Jensen, OSC chairwoman and CEO, heads the list with $642,782 in annual pay
An improved version of IOSCO’s multilateral memorandum of understanding will enable regulators to collect more information about online activity
Fees for government securities dealers under the new model apply starting on Saturday and the fees for other dealers will begin July 1
Ontario’s government intends to work with the province’s financial regulators on many of the Expert Committee’s recommendations
Advisors in the province subject to disciplinary sanctions will no longer be able to evade their fines simply by leaving the industry
Committee proposes restrictions on the use of advisors' titles
Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)
Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors
Experiences in Australia show that initial concern for regulatory reforms will give way to growth down the road for the financial advice business, head of OSC suggests