Regulatory

No rate policy hints from Yellen in Jackson Hole Fed speech

Instead, Yellen defended financial market regulations that have been in place since 2008

August 25, 2017

2 min read

Advisors who don’t discuss fees risk losing clients: survey

More than a fifth of affluent millennial clients say they expect to leave their current advisory firms within the next 12 months, a J.D. Power survey shows. And, for many clients, fee transparency will be a primary reason for leaving. The survey found that, while advisors risk losing clients by not adequately disclosing fees, milliennials […]

By Staff |August 17, 2017

2 min read

Two SEC whistleblower awards this week

This week, the U.S. SEC announced two whistleblower awards

By Staff |July 27, 2017

1 min read

CSA finalizes amendments for firms’ registrations

The Canadian Securities Administrators has issued final amendments to the registration rules for firms. The amendments are to National Instrument 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), and National Instrument 33-109: Registration Information. The changes enhance custody requirements for some registered firms, clarify activities that may be conducted by exempt market dealers, […]

By Staff |July 27, 2017

2 min read