OSC engages BEworks to help advisors collect trusted contact information

The OSC has released a report, developed in collaboration with consulting firm BEworks, that identifies ways of increasi…

INVESTMENT | November 10 2020 02:30PM
IIROC publishes advisor survey results in support of single SRO

The Investment Industry Regulatory Organization of Canada released two studies, which suggest that regulatory burden and…

INVESTMENT | November 05 2020 01:42PM
Investors’ risk tolerance levels remains stable

Investor risk tolerance levels have remained relatively unchanged since 2017, found a survey conducted for the Canadian …

INVESTMENT | October 28 2020 02:04PM
Associations comment on SRO questions posed by the CSA

IFIC and PMAC have both published comments regarding the CSA’s review of the regulatory framework governing the industry…

INVESTMENT | October 26 2020 01:30PM
Education and collaboration needed to combat financial exploitation of seniors

A recent CanAge roundtable discussed ways to stop financial exploitation of Canada’s seniors.

SOCIETY | October 13 2020 03:05PM
Ban on trailing commissions for order-execution-only brokers adopted

The Canadian Securities Administrators have adopted rules that ban trailing commissions for order-execution-only brokers…

INVESTMENT | September 21 2020 04:12PM
CSA members unhappy with report on how OSC wants to modernize

Members of the Canadian Securities Administrators have taken issue with a task force report on Ontario’s moves to modern…

INVESTMENT | September 04 2020 03:00PM