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Keyword: Regulation

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Quebec regulates “financial planner” and prohibits
“financial advisor.” Ontario will regulate both.

File

Legislation affects disclosures on trusts, real estate and corporations

File

The proposals affect disclosure requirements and facilitate online compliance

stack of documents or files, overload of paperwork on black background

The proposals are out for comment until Dec. 4

  • By: Staff
  • September 5, 2019 September 5, 2019
  • 14:28
Small white piggy bank sitting on a layer of Canadian twenties bills with a dollar coin (loonie) dropping inside.

The guidance augments FINTRAC's penalty policy

  • By: Staff
  • August 29, 2019 August 29, 2019
  • 16:53
Wooden gavel used by a judge or auctioneer

IIROC staff sought the firm's suspension after it fell into capital deficiency in August

  • By: Staff
  • August 16, 2019 August 16, 2019
  • 14:25
Wooden gavel used by a judge or auctioneer

Firms engaged in excessive promotional activities and provided reps with too much in non-monetary incentives

Financial Advisor Assisting Senior Couple

The OSC's research challenges the justification for DSCs and trailing commissions

  • By: Staff
  • July 29, 2019 July 29, 2019
  • 15:27
Lawyer

In its submission to IIROC, the association also asked for clarity on the rules

  • By: Staff
  • July 29, 2019 July 29, 2019
  • 13:32
Lawyer

The violation involved using 'soft dollars' to develop in-house software