Regulators are closer to banning trailer fees paid to discount brokers
The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe
Regulators issued more investor alerts and bans
The regulator is relaxing its approach to portfolio manager proficiency
The CSA, IIROC and the MFDA have established a CFRs Implementation Committee
IIROC will expand its role to provide data on government debt
The regulator said investors under financial pressure could ask dealers to waive fees, such as DSCs
The FSRA was expected to transfer authority to the OSC in July
The regulator has acknowledged that firms are currently facing “enormous and unprecedented operational pressures”
Issuers, investment funds, registered firms and others will have more time to meet regulatory obligations