Regulatory

Rules could make alternatives as easy to buy as mutual funds

The proposed amendments are primarily aimed at developing a more comprehensive regulatory framework for publicly offered alternative funds

By Staff |September 22, 2016

2 min read

UPDATED: CSA announces roundtables on proposed reforms

CSA announced the dates for roundtables to further explore in its regulatory proposals. The discussions will be on CSA consultation paper 33-404, Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients. It aims for new principles for registrants, controversially proposing that they generally “act in the best interests of the client,” […]

By Staff |September 22, 2016

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IIROC and IPC settle over supervision breach

IPC Securities Corporation admitted that it failed to conduct strict supervision of a Registered Representative pursuant to an acknowledgement and consent provided to IIROC.

By Staff |September 16, 2016

1 min read

IIROC wants ‘strong, principled’ position on best interest

The "most important part" of the the CSA's best interest regulatory reforms is how advisors deal with conflicts of interest, says Andrew Kriegler.

By Staff |September 13, 2016

2 min read