Regulatory

CSA eyes disclosure on scholarship plans

Advisors who deal in scholarship plans take note: a second comment period has opened for proposed amendments to the rules governing disclosure. Be sure to have your voice heard.

By Staff |November 25, 2011

1 min read

OSC, FINRA sign cooperation deal

The Ontario Securities Commission (OSC) has entered into a memorandum of understanding with the Financial Industry Regulatory Authority (FINRA) to facilitate the exchange of information on regulated entities that operate across the U.S.-Canadian border.

By Staff |November 18, 2011

1 min read

Fired broker wins $5.2 million arbitration

One of RBC's American subsidiaries has been ordered to pay a former broker more than $5 million, after dismissing him on "thin" evidence of wrong-doing.

By Staff |November 18, 2011

1 min read

Sub-advisors come under SEC scrutiny

The SEC has charged Morgan Stanley Investment Management with violating securities law by paying a Malaysian sub-advisor for services that were never rendered.

By Staff |November 16, 2011

1 min read