Despite redemptions, industry assets rose by $15.5 billion
Each party has different roles and responsibilities, and different regulatory obligations, to the client
The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals
The proposed rules will improve the accuracy of measuring banks’ exposures and lead to better decision making
CSA to co-ordinate with U.S. regulator
An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration
Firm using fake document to solicit investments, OSC says
Major reforms to the dispute resolution service’s mandate require action from regulators
The man was arrested in November after he failed to appear at his trial
Planned BCP test to coincide with test in the U.S.