Mutual fund dealers – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 29 Nov 2024 15:08:45 +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 Mutual fund dealers – Investment Executive https://www.investmentexecutive.com 32 32 CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> OSC, CIRO to review banks’ sales practices https://www.investmentexecutive.com/news/from-the-regulators/osc-ciro-to-review-banks-sales-practices/ Tue, 26 Nov 2024 22:45:23 +0000 https://www.investmentexecutive.com/?p=497479 Regulators cite concerns about high-pressure sales tactics in bank branches

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]]> CIRO poised to take over dealer registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-poised-to-take-over-dealer-registration/ Wed, 20 Nov 2024 18:37:45 +0000 https://www.investmentexecutive.com/?p=497037 OSC to delegate registration to CIRO, rest of CSA considering it too

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]]> Fund rep sanctioned for allowing ‘stealth advising’ https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-sanctioned-for-allowing-stealth-advising/ Wed, 06 Nov 2024 18:18:10 +0000 https://www.investmentexecutive.com/?p=496155 Leverage strategy deployed on the down low resulted in hefty financial losses

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]]> CIRO proposes overhaul of arbitration program https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-overhaul-of-arbitration-program/ Thu, 31 Oct 2024 19:11:45 +0000 https://www.investmentexecutive.com/?p=495842 Reforms would extend program to fund dealers, expand monetary limits, fund certain costs

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]]> Tribunal rejects rep’s appeal of CIRO rulings https://www.investmentexecutive.com/news/from-the-regulators/tribunal-rejects-reps-appeal-of-ciro-rulings/ Thu, 24 Oct 2024 22:03:53 +0000 https://www.investmentexecutive.com/?p=495461 Acts in furtherance of a trade violated securities rules

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]]> Royal settles the case of the missing RESP grants https://www.investmentexecutive.com/news/from-the-regulators/royal-settles-the-case-of-the-missing-resp-grants/ Wed, 23 Oct 2024 21:30:04 +0000 https://www.investmentexecutive.com/?p=495384 Firm was alerted to $1 million in missed grants by government review

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]]> Lawyers vulnerable to money launderers: FINTRAC https://www.investmentexecutive.com/news/from-the-regulators/lawyers-vulnerable-to-money-launderers-fintrac/ Wed, 23 Oct 2024 20:06:14 +0000 https://www.investmentexecutive.com/?p=495377 Bulletin alerts industry firms to risky activity involving legal profession

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]]> Fund dealer fiduciary duty class action fails https://www.investmentexecutive.com/news/from-the-regulators/fund-dealer-fiduciary-duty-class-action-fails/ Tue, 22 Oct 2024 18:06:10 +0000 https://www.investmentexecutive.com/?p=495260 Court rules no evidence of common breach, given differences among investors

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]]> CIRO revisits returning money to harmed investors https://www.investmentexecutive.com/news/from-the-regulators/ciro-revisits-returning-money-to-harmed-investors/ Mon, 21 Oct 2024 20:42:23 +0000 https://www.investmentexecutive.com/?p=495179 Self-regulatory organization consults on proposed disgorgement distribution policy

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