Compliance

CFIB tackles small business regulatory costs

Your business owner clients may be getting some good news today. The CFIB is meeting with Ontario government representatives to work on reducing the regulatory burden on small businesses in the province. Read: Plan for the 5 stages of building a business They are proposing the following action plan, with officials having only 60 days […]

By Staff |August 29, 2012

1 min read

IIROC releases 2011-2012 annual report

The Investment Industry Regulatory Organization of Canada (IIROC) has released its 2011-12 Annual Report, which is called Raising the Bar. This report includes an updated strategic plan scorecard, which measures the progress of its strategic goals. Other highlights include discussions and updates on: • Reforms IIROC has implemented over the past year after extensive stakeholder […]

By Staff |August 24, 2012

1 min read

OSC plans to raise fees

The OSC is seeking comment on its draft of OSC rules 13-502 and 13-503, which proposes amendments to its funding model for the next three years.

By Staff |August 23, 2012

1 min read

Former IAIG dealer fined $20,000

A settlement hearing in the matter of Michel Joseph Landry was held today in Toronto, Ontario before a hearing panel of the MFDA’s Central Regional Council. Landry was previously employed as an alternate compliance officer, shareholder and dealing representative with Independent Accountants Investment Group. He voluntarily resigned in January 2012. Read: Compliance failure costs IAIG […]

By Staff |August 23, 2012

1 min read