Regulatory

Firm fined $150,000 for failed trade supervision

On June 18, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Scotia Capital.

By Staff |June 19, 2013

1 min read

Compliance costs cut into client services

The pace of regulatory change is challenging wealth management firms.

By Staff |June 19, 2013

2 min read

Industry clashes over proposed no-contest settlements

The OSC wants faster dispute resolution.

June 18, 2013

4 min read

Regulation by product is a problem: CSA roundtable

Participants were concerned about regulatory arbitrage and limiting advice access for lower-income folks.

By Staff |June 18, 2013

3 min read