Regulatory

IFIC proposes advisory titles

Suggested titles include "investment funds advisor" and "securities advisor"

By Staff |September 14, 2018

2 min read

CSA releases DSC ban, trailing commissions proposals

The Ontario government doesn't support the approach

By Katie Keir |September 13, 2018

4 min read

CSA chooses Kx to create new market analytics platform

Platform will identify potential market abuse

By Staff |September 13, 2018

1 min read

MFDA permanently bans, fines rep $40K for outside activity

The activity was not disclosed to his firm

By Staff |September 11, 2018

1 min read