The CSA's paper envisages a sweeping ban on trailer fees
Although the industry is in favour of expanding investors' access to alternative investments, investor advocates are opposed
The SRO is launching a second round of consultations on the actual rules that would impact mutual fund dealer reps
Five of Canada’s provincial securities commissions issued a notice on Thursday warning that some issuers may be abusing shareholders in the way they’re structuring exempt-rights offerings. In particular, the regulators say in the notice that they have concerns with structures that are potentially abusive: “For example, we may have concerns where a rights offering is […]
The recommendations are designed to increase transparency in liquidity mismatch and focus on measuring and monitoring leverage in investment funds
Regulators are concerned that a product that’s restricted, or banned, for investment firms could still be distributed directly by fund managers
The regulator, which published its list of priorities for 2018, will also examine wrap programs and the possible exploitation of senior investors
The SRO has laid out its priorities for 2017 in a notice published on Thursday
Firms can make the business more appealing to women by altering their compensation models for rookie advisors, Cerulli report finds
There are three new members on the OSC’s key securities advisory committee for the 2017-20 term