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Firms, associations and reps weigh in on advisor compensation

By Kate McCaffery | April 2, 2024, 10:46 a.m.

Photo: Freepik

Regulator analyzes feedback to policy options proposed in January.

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Headlines

Beneva’s profits up 149 per cent in 2023

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Flash

Canada’s risk aversion causing country’s innovation paradox

Alberta opens consultation on auto insurance reform

Pension plans ramp up risk reduction transactions

Canadian after-tax incomes decreased in 2022

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)

Regulator sanctions agent twice for same infractions

Regulator orders $30,000 fine, costs and disgorgement in suitability case

Enforcement year in review unveiled by new regulator

Tribunal sets aside regulator’s decision and reduces disgorgement order

CANADIAN INVESTMENT REGULATORY ORGANIZATION (CIRO)

Agent who defrauded retired couple banned from securities registration

Mutual fund rep fined close to $1.7-million

Sanctions for pre-signed forms levied against former Fredericton rep

Firm fined $1.5 million for failing to supervise trading activity

MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

Repeat offender thrown out of the industry permanently

Representative fined $125,000 and banned for accepting power of attorney

Representative switching firms fined $20,000 for 47 pre-signed forms

Assistant terminated and sanctioned for two years over pre-signed forms

Regulation

Nova Scotia adopts association’s short and long-term disability templates

Quebec flood zone map raises concerns even before its release

Ontario regulator publishes guidance for comment

National Flood Insurance Program promised again in budget

Analytic

Beneva’s profits up 149 per cent in 2023

Fallout of a cyber catastrophe modelled by reinsurer

Average fund fees declined following implementation of disclosure rule amendments

Close to one-in-ten seniors worked out of necessity in 2022