Regulatory

Rep gets two-year suspension for improper compensation arrangement

The OSC reached a settlement over the undisclosed fee revenue

By James Langton |March 4, 2020

2 min read

Title regulation shouldn’t add to compliance burden: CLHIA

Life agents already have educational requirements and ongoing oversight, the association says

By James Langton |March 3, 2020

1 min read

Firms sanctioned for reps selling funds they didn’t understand

Two Wells Fargo firms are paying the SEC US$35 million

By James Langton |February 28, 2020

1 min read

Trailer fee class action against TD to proceed

An Ontario court said the plaintiff has a viable claim for breach of trust and fiduciary duty

By James Langton |February 28, 2020

2 min read