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Business Team Meeting Project Planning Concept

Regulators are closer to banning trailer fees paid to discount brokers

Idea

The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe

court gavel regulatory

Regulators issued more investor alerts and bans

The regulator is relaxing its approach to portfolio manager proficiency

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The CSA, IIROC and the MFDA have established a CFRs Implementation Committee

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IIROC will expand its role to provide data on government debt

man checking stocks on newspaper and tablet

The regulator said investors under financial pressure could ask dealers to waive fees, such as DSCs

Insurance Home House Live Car Protection Protect Concepts

The FSRA was expected to transfer authority to the OSC in July

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The regulator has acknowledged that firms are currently facing “enormous and unprecedented operational pressures”

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Issuers, investment funds, registered firms and others will have more time to meet regulatory obligations

  • By: Staff
  • March 23, 2020 March 23, 2020
  • 14:42