Regulatory fees – 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 fees – 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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]]> 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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]]> Venture markets reporting mixed success https://www.investmentexecutive.com/news/research-and-markets/venture-markets-reporting-mixed-success/ Tue, 24 Sep 2024 17:55:34 +0000 https://www.investmentexecutive.com/?p=493339 Emerging markets driving growth in junior stocks, WFE research finds

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]]> CIRO sees swing to deficit in fiscal 2025 https://www.investmentexecutive.com/news/from-the-regulators/ciro-sees-swing-to-deficit-in-fiscal-2025/ Thu, 19 Sep 2024 13:00:35 +0000 https://www.investmentexecutive.com/?p=493050 Integration costs to be paid by 2027, SRO projects

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]]> Dealers question lack of cost savings under CIRO’s proposed fee model https://www.investmentexecutive.com/news/from-the-regulators/dealers-question-lack-of-cost-savings-under-ciros-proposed-fee-model/ Thu, 04 Jul 2024 19:06:29 +0000 https://www.investmentexecutive.com/?p=488805 Consultation highlights industry concerns

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]]> Advisor incorporation among CIRO’s priorities for 2025 https://www.investmentexecutive.com/news/from-the-regulators/advisor-incorporation-among-ciros-priorities-for-2025/ Wed, 26 Jun 2024 20:56:59 +0000 https://www.investmentexecutive.com/?p=488467 SRO integration and investor protection also on the agenda

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]]> Binance Holdings appeals $6M Fintrac fine https://www.investmentexecutive.com/news/from-the-regulators/binance-holdings-appeals-6m-fintrac-fine/ Wed, 19 Jun 2024 19:12:10 +0000 https://www.investmentexecutive.com/?p=488076 Cryptocurrency exchange says it does not direct its services at those in Canada

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]]> CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

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]]> OSC hikes fees for crypto firms https://www.investmentexecutive.com/news/from-the-regulators/osc-hikes-fees-for-crypto-firms/ Fri, 19 Apr 2024 16:17:50 +0000 https://www.investmentexecutive.com/?p=484368 Regulator adopts new charges to cover added costs on overseeing crypto sector

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]]> CIRO approved as credentialing body under Ontario title protection https://www.investmentexecutive.com/news/industry-news/ciro-approved-as-credentialing-body-under-ontario-title-protection/ Tue, 23 Jan 2024 20:56:57 +0000 https://www.investmentexecutive.com/?p=479101 Improved proficiency for financial advisors still on the table amid persistent demand

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