Apr 10, 2025 | News
Investor advocates are calling on Canadian Securities Administrators (CSA) regulators to ban advisor chargebacks and revise the principal distributor model in Canada’s mutual fund market. Principal distributors are investment dealers that receive exclusive rights to...
Apr 4, 2025 | News
The Ontario Securities Commission (OSC) published OSC Rule 81-510, replacing temporary exemptive relief of continued payment of trailing commission rebates to investors in accounts held at order-execution only (OEO) dealers. The Rule permits the continued payment for...
Apr 2, 2025 | News
Effective April 1, 2025. The Nova Scotia government has introduced a new Life Income Fund (LIF) and has made modifications to unlocking policies affecting Locked-In Retirement Accounts (LIRAs) and Life Income Funds (LIFs). Individuals transferring funds to a life...
Mar 28, 2025 | News
CIRO set out the fifth, and final, set of proposed rule changes as part of its ongoing project to harmonize the rules for fund dealers and investment dealers. The latest set of rule proposals covers client complaint handling, outsourcing arrangements, continuing...
Mar 26, 2025 | News
Advocis is focusing on title protection harmonization, as part of its advocacy agenda this year. There is a push for greater proficiency for the financial advisor (FA) title and harmonization with other jurisdictions. Title protection discussions have been ongoing...
Mar 24, 2025 | News
CIRO has scheduled the next biennial industry business continuity planning (BCP) trading simulation test for Saturday October 25, 2025. CIRO staff will contact all participant dealers in April 2025 to confirm their required level of participation in the 2025 industry...
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