Industry News

Public complaints about financial planning triple in 2017: FPSC

Find out why

By Staff |April 20, 2018

2 min read

MFDA rep fined $124,000 and permanently banned

Rep 'misappropriated' money from clients

By Staff |April 20, 2018

1 min read

CSA seeks input on proposed derivatives registration rule

The CSA is seeking feedback on a proposed regime for registering dealers and advisors who trade and advise in the over-the-counter (OTC) derivatives markets in Canada. The regime comprises the Proposed National Instrument 93-102 Derivatives: Registration and a proposed companion policy, 93-102 Derivatives: Registration. The CSA is looking to improve investor protection for OTC derivatives […]

By Staff |April 20, 2018

2 min read

Transition to T+2 settlement successful: CCMA

Canada’s transition to the T+2 settlement passed smoothly, says the Canadian Capital Markets Association (CCMA) in a report. T+2 Project: Post-Mortem Report found the settlement was completed on schedule, on budget and without market disruption or unexpected negative effects on investors or other stakeholders. CCMA analyzed the work carried out between 2015 and 2017 to […]

By Staff |April 20, 2018

2 min read