Understand how a settlement can unexpectedly affect you
Fees as a share of industry revenues and profits have continued to decline
The CSA hasn’t set a timeline for reforms
The CSA's plan received broad support, but there's plenty of work to do on the details
Consolidated rules and enhanced governance will be part of the changes
Fund dealers' first CE cycle to kick off on Dec. 1
An oversight examination has uncovered just one "low-priority" issue with market surveillance
The proposals are out for a 60-day comment period
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
Reporting changes will be rolled into a bigger project on complaints, investigations
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