Dan Richards, CEO, Client Insights and Lynn McGrade, partner at Borden Ladner Gervais LLP, discuss how advisors and investors may benefit from the Canadian Securities Administrators’ proposal to make alternative funds available to retail investors.
Firms failed to ensure that investors got fund fee rebates, waivers
Trio of firms sanctioned for regulatory reporting issues
Father, son duo plead guilty to securities fraud, conspiracy charges
SRO sets out common requirements, contemplates shift to annual CE cycle
The agency's estimate for November indicates real GDP fell 0.1%
Firm failed to fully investigate potentially manipulative trading by an ex-employee
Panel orders more than US$50M in disgorgement, plus $5M in penalties and costs
2025 board members named for key OSC committee, FID, while IFBC’s Susan Allemang retires after 20 years