Regulation

Canada’s new securities regulator not ready for launch, says C.D. Howe

Proposed regulator suffers from key flaws

By Staff |September 19, 2017

2 min read

Why FCAC and IIROC have signed a MOU

The two national regulators will exchange information to protect consumers

By Staff |September 12, 2017

1 min read

Are you making these common compliance mistakes?

Here's a list of compliance mistakes you need to watch out for

By Katie Keir |July 12, 2017

3 min read

IIROC guidance on managing conflicts poses challenges for dealers

01 IIROC compensation review In April, IIROC published guidance on managing compensation-related conflicts after reviewing 20 firms. The review identified three concerns: The guidance, along with CSA’s proposal on banning embedded commissions, indicates a trend “toward greater clarity, greater and better disclosure, and fewer conflicts,” says John Fabello, a partner at Torys in Toronto. Though […]

By Michelle Schriver |June 30, 2017

6 min read