Industry

IIROC advisor? SRO floats proposal on membership disclosure

IIROC has republished for comment proposed amendments to the requirements for IIROC Dealer Members to disclose that they are regulated by IIROC.

By Staff |November 5, 2015

2 min read

Which funds got Lipper Awards?

Did the funds you put clients into get Lipper Awards?

By Staff |November 5, 2015

1 min read

Regulators publish additional crowdfunding exemption

Several regulators have published, in final form, Multilateral Instrument 45-108 Crowdfunding.

By Staff |November 5, 2015

2 min read

Amid pressure, banks focus on non-financial risks

Bank boards and management are increasing their focus on risk management, especially non-financial risk, as they address regulatory pressure, investor demands and the high cost of past misconduct.

By Staff |November 4, 2015

2 min read