Regulatory

Rep facing discipline allowed to use IIROC transcript in court case

Public interest outweighs possible prejudice, an IIROC panel rules

By James Langton |October 28, 2020

2 min read

IIROC panel overstepped on sanctions, ASC finds

The regulator reduced a rep's fine and suspension following an appeal

By James Langton |October 19, 2020

2 min read

FSRA, OSFI to review oversight of DC pension plans

The regulators seek advisory committee members

By Staff |October 14, 2020

1 min read

Choosing funds for clients? Get ready to show your work

Beginning next year, the CFRs will require you to demonstrate that you’ve considered a “reasonable range of alternatives”

By Greg Dalgetty |October 9, 2020

3 min read