Regulation

Canadians easy targets for fraudsters: survey

Canadians are too lax when it comes to fraud awareness and financial literacy.

By Staff |October 17, 2012

2 min read

FBI probes insider trading

U.S. authorities are going after corrupt traders with renewed vigour. The number of new FBI investigations into insider trading shot up 43% nationwide for the fiscal year that ended September 30, according to a report on FT. Read: Hedge fund founder convicted of insider trading “Since 2009, criminal charges have been filed against 72 hedge […]

By Staff |October 3, 2012

1 min read

Advocis comments on regulatory issues

Advocis has made regulatory submissions on PRPP regulation, mutual fund prospectus disclosure, and registration requirements and exemptions. PRPP Regulation Advocis has commented on proposed PRPP regulation on licensing, permitted investments, investment choices, permitted inducements, cost, contribution rate and disclosure requirements. Mutual Fund Prospectus Disclosure Comments made to the Canadian Securities Administration (CSA) on proposed amendments […]

By Staff |September 25, 2012

1 min read

Don’t get caught in regulatory traps

Registration requirements are strict and might stand in the way of an advisor providing access to an investment that’s truly in the client’s best interests.

September 11, 2012

4 min read