Review documents failings in meeting KYC, KYP, suitability requirements
Final consultation on merged dealer rules will get 120-day comment period
MSC finds no error with panel's findings against former fund rep
Regulator publishes draft priorities, highlighting competitive concerns
Costs vary by distributor, fund and asset type, regulators conclude
SRO crafting model to allow reps to use personal corporations
Motion judge made no error in finding dealer entitled to fee refund, appeal court says
Regulator puts twice-delayed research effort on backburner
Move would give SRO full responsibility for registering dealers, reps
Regulator clarifies its response to concerns arising from survey of mutual fund reps