Regulatory

FCNB gets new CEO

Kevin Hoyt takes the reins on Jan. 1

By James Langton |December 19, 2019

1 min read

CSA to ban DSCs everywhere but Ontario

Ontario is considering alternatives to a DSC ban, but will join the CSA in outlawing trailers for discount brokers

By James Langton |December 19, 2019

2 min read

CDS aims to bolster liquidity backstops

New proposals attempt to “cover potential liquidity stress scenarios”

By James Langton |December 18, 2019

1 min read

IIROC green-lights electronic record-keeping of client complaints

The complaints must be “retrievable within a reasonable time”

By James Langton |December 18, 2019

1 min read