Regulatory

Quadrus settles with MFDA over lapses in sales practices

Incentive structure favoured in-house funds over third-party funds, regulator found

By James Langton |November 24, 2021

2 min read

OSC launches first wave of TestLab experiments focused on KYC, KYP

Early focus will be on helping advisors understand products and collect client information

By James Langton |November 22, 2021

2 min read

Newfoundland is sixth province to give IIROC full enforcement toolkit

The regulator can now collect fines through the courts countrywide

By Staff |November 17, 2021

1 min read

Banks’ product shelf restrictions face scrutiny at Advocis event

OSC head expressed concern about banks' response to the client-focused reforms

By Michelle Schriver |November 17, 2021

3 min read