Regulatory burden – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 21 Nov 2024 19:34:59 +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 Regulatory burden – Investment Executive https://www.investmentexecutive.com 32 32 CSA set to hike SEDAR, NRD fees https://www.investmentexecutive.com/news/from-the-regulators/csa-set-to-hike-sedar-nrd-fees/ Thu, 21 Nov 2024 19:34:59 +0000 https://www.investmentexecutive.com/?p=497161 Dramatic revenue increase needed to keep pace with systems costs: regulators

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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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]]> CSA to expand electronic access disclosure model https://www.investmentexecutive.com/news/from-the-regulators/csa-to-expand-electronic-access-disclosure-model/ Tue, 19 Nov 2024 21:02:50 +0000 https://www.investmentexecutive.com/?p=496994 Regulators aim to address concerns about retail investor protection

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]]> Ontario consults on new pension payout option https://www.investmentexecutive.com/news/from-the-regulators/ontario-consults-on-new-pension-payout-option/ Wed, 13 Nov 2024 18:06:50 +0000 https://www.investmentexecutive.com/?p=496654 Consultation seeks feedback on framework for variable life benefits

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]]> FINRA poised to hike brokers’ fees https://www.investmentexecutive.com/news/from-the-regulators/finra-poised-to-hike-brokers-fees/ Tue, 12 Nov 2024 20:46:54 +0000 https://www.investmentexecutive.com/?p=496555 Fee increase to be phased in over five years, bring projected revenues in line with expenses

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]]> FCA expands research unbundling to fund managers https://www.investmentexecutive.com/news/from-the-regulators/fca-expands-research-unbundling-to-fund-managers/ Tue, 05 Nov 2024 17:27:40 +0000 https://www.investmentexecutive.com/?p=496038 U.K. regulator aims to improve access to research, market transparency

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]]> FINRA reviews day-trading rules https://www.investmentexecutive.com/news/from-the-regulators/finra-reviews-day-trading-rules/ Wed, 30 Oct 2024 17:48:40 +0000 https://www.investmentexecutive.com/?p=495715 SRO considers modernizing rules amid market, investor evolution

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]]> Europe relaxes rules, eyes more vibrant markets https://www.investmentexecutive.com/news/from-the-regulators/europe-relaxes-rules-eyes-more-vibrant-markets/ Mon, 28 Oct 2024 17:48:29 +0000 https://www.investmentexecutive.com/?p=495563 ESMA consults on research bundling, prospectus requirements

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]]> CIRO unveils next wave of rule consolidation https://www.investmentexecutive.com/news/from-the-regulators/ciro-unveils-next-wave-of-rule-consolidation/ Thu, 17 Oct 2024 20:40:49 +0000 https://www.investmentexecutive.com/?p=494971 Approval regime, proficiency are among areas covered in latest consultation

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]]> CSA seeks fund disclosure overhaul https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-fund-disclosure-overhaul/ Thu, 19 Sep 2024 19:35:45 +0000 https://www.investmentexecutive.com/?p=493111 Regulators propose new streamlined fund reports

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