Consultation paper sets out recommendations on registration and regulation of firms trading in derivatives
Prospective fund rep failed to disclose her prior employment in registration application
The current system is complicated and requires the search of several databases
Investors encouraged to check the registration of firms and individuals offering investment advice
Regulator wants to raise awareness of AdvisorReport during Fraud Prevention Month
Mandatory registration has given the SEC its first comprehensive look at advisors to these types of funds.
Investment House co-founders failed to manage conflicts of interest, says OSC
Provincial regulators will adopt two different models for registering “non-resident” fund managers
Mutual recognition of advisors will take effect July 6
Reasons given to individuals will now be shared with firms