Regulatory

BCSC seeks input from B.C. fintech and tech firms

The British Columbia Securities Commission (BCSC) has released an online survey, published a new tech industry webpage and announced a dedicated tech team as part of its ongoing outreach aimed at B.C. fintech and tech companies, as well as other stakeholders active in these sectors. Read: World’s largest hedge fund firm turning to automation The […]

By Staff |January 25, 2017

1 min read

Educate clients on risk of loss, OSC roundtable urges

Risk profiling is a complex, multidimensional process that combines many factors, both subjective and objective, to create an overall assessment of the most appropriate level of risk for an investor. Read: Rethink risk tolerance questionnaires The Investor Advisory Panel (IAP), an independent committee established by the Ontario Securities Commission, has released a report on the […]

By Staff |January 23, 2017

2 min read

Talk versus action on embedded commissions ban

Too slow, or not slow enough?

January 16, 2017

2 min read

What IIROC’s prioritizing this year

Weaknesses in trade execution, enhanced suitability and outsourcing all make the list.

By Staff |January 12, 2017

2 min read