Canadian Insurance Services Regulatory Organization – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 17 Jul 2024 20:30:25 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Canadian Insurance Services Regulatory Organization – Investment Executive https://www.investmentexecutive.com 32 32 LLQP exam fees going up next month in Ontario https://www.investmentexecutive.com/news/from-the-regulators/llqp-exam-fees-going-up-next-month-in-ontario/ Wed, 17 Jul 2024 20:30:25 +0000 https://www.investmentexecutive.com/?p=489526 FSRA says higher fees due to rising technology, business costs

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]]> FSRA tightens the screws on seg fund DSCs https://www.investmentexecutive.com/news/from-the-regulators/frsa-tightens-the-screws-on-seg-fund-dscs/ Tue, 09 Jan 2024 16:24:18 +0000 https://www.investmentexecutive.com/?p=478284 New measures address the use of DSCs with existing contracts

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]]> Mutual fund chargebacks to face CSA scrutiny https://www.investmentexecutive.com/news/from-the-regulators/mutual-fund-chargebacks-to-face-csa-scrutiny/ Thu, 01 Jun 2023 19:10:56 +0000 https://www.investmentexecutive.com/?p=466724 Conflict of interest concerns spark regulators' review

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]]> Advisor chargebacks need robust controls, regulators say https://www.investmentexecutive.com/news/from-the-regulators/advisor-chargebacks-need-robust-controls-regulators-say/ Mon, 15 May 2023 19:22:06 +0000 https://www.investmentexecutive.com/?p=465614 Insurance regulators promised new guidance on upfront compensation structures

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]]> FSRA proposes DSC ban for seg funds https://www.investmentexecutive.com/news/from-the-regulators/fsra-proposes-dsc-ban-for-seg-funds/ Fri, 25 Nov 2022 16:12:58 +0000 https://www.investmentexecutive.com/?p=456405 Proposal would eliminate regulatory arbitrage between seg funds and mutual funds

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]]> Regulators seek radical transparency for fund fees https://www.investmentexecutive.com/news/from-the-regulators/regulators-seek-radical-transparency-for-fund-fees/ Thu, 28 Apr 2022 17:44:04 +0000 https://www.investmentexecutive.com/?p=443542 CSA, CCIR propose new cost reporting requirements for investment and seg funds

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]]> New guidance targets unfair incentive practices https://www.investmentexecutive.com/news/from-the-regulators/new-guidance-targets-unfair-incentive-practices/ Thu, 17 Feb 2022 20:39:49 +0000 https://www.investmentexecutive.com/?p=439552 CCIR-CISRO proposals aim to align incentive structures with fairness principles

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]]> Seg funds to face DSC ban too https://www.investmentexecutive.com/news/from-the-regulators/seg-funds-to-face-dsc-ban-too/ Thu, 10 Feb 2022 18:36:34 +0000 https://www.investmentexecutive.com/?p=439099 CCIR, CISRO consultation will also consider outright ban on upfront commissions

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]]> Insurance regulators release final guidance on fair treatment of customers https://www.investmentexecutive.com/news/from-the-regulators/insurance-regulators-release-final-guidance-on-fair-treatment-of-customers/ Thu, 27 Sep 2018 21:00:40 +0000 https://www.investmentexecutive.com/?p=356461 Document outlines key principles that regulators expect insurers and intermediaries to engrain into their daily practices

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]]> Regulators issue proposed guidance for insurers, advisors https://www.investmentexecutive.com/news/from-the-regulators/regulators-issue-proposed-guidance-for-insurers-advisors/ Thu, 03 May 2018 21:06:43 +0000 https://www.investmentexecutive.com/?p=349932 Proposal aims to “foster discussions between regulators, insurers and intermediaries on market conduct”

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