行业动态 | 加拿大贷款连连看

Mar 22, 20193 min read

TFSA holders ultimately liable for any tax on day trading in an account

Issuers are only “joint and severally liable” to a point Tax-free savings account (TFSA) holders will now be ultimately liable for any...

Mar 22, 20191 min read

MFDA seeks changes to its investigative powers

The proposals would harmonize rules with IIROC The Mutual Fund Dealers Association of Canada (MFDA) is proposing rule changes designed to...

Mar 6, 20192 min read

MFDA warns dealers about conflicts created by fundco promos

A review of dealers’ policies on promotional incentives reveals gaps and shortcomings Mutual fund dealers must step up efforts to prevent...

Feb 8, 20194 min read

45-325 Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts

This notice is intended to clarify when Form 45-106F1 Report of Exempt Distribution (Form 45-106F1) of National Instrument 45-106...

Jan 18, 20197 min read

【专访】以诺财富首席合规官：百花齐放的温哥华投资种类和领域

近日，随着卑诗省政府以及市一级政府在宏观方面的调控以及加拿大央行货币政策的收紧，广大投资者在温哥华的投资标的面临了不少公允价值下行的风险。外国人购买物业税、空置税、投机税、农地建筑面积限制、银行利息上涨、银行贷款难度加大等利空的因素让某些步伐比较大、资金链比较紧的投资者感到...

Dec 17, 20183 min read

IFIC offers alternative to the CSA’s proposed ban on DSC mutual funds

PMAC wants CSA to leave pooled funds out of client-focused reforms In a submission to the Canadian Securities Administrators (CSA), the...

Dec 6, 20182 min read

Securities market fee changes to support stronger enforcement and regulatory innovation

he British Columbia Securities Commission (BCSC) is increasing fees to bolster the commission's ability to carry out its mandate to...

Nov 28, 20183 min read

BCSC Executive Director alleges scheme by self-described consultants

The Executive Director of the British Columbia Securities Commission (BCSC) has temporarily prohibited a group of purported consultants...

Nov 21, 20182 min read

PI Financial sold to Gary Ng

The owner of Chippingham Financial and Rothenberg Group of Cos. Is acquiring the Vancouver-based dealer for more than $100 million...

Nov 21, 20181 min read

IIROC fines Raymond James

The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings A hearing...

Nov 15, 20182 min read

Canaccord continues to grow advisor roster

The firm has added 16 advisory teams from a year ago while client AUA rose by 54.3% year-over-year Vancouver-based Canaccord Genuity...

Nov 15, 20182 min read

TD Waterhouse Canada fined $140,000 for failing to oversee advisor’s trading

The advisor used an active trading strategy to produce more than $1 million in commissions from trading for three senior clients over...

Nov 13, 20181 min read

OSC forms task force to ease regulatory burden

The Ontario Securities Commission announced that it has created an internal task force which will oversee efforts to reducing the...

Nov 13, 20181 min read

Will Canada push through with a national securities regulator?

Ottawa and other provinces can now set up a national securities regulator after the Supreme Court ruled it constitutional to do so....

Nov 13, 20182 min read

Majority of Albertans believe financial advisors need professional regulation

Advocis calls on Alberta government to require that all financial advisors become members of a professional governing organization and...

Nov 9, 20182 min read

Investors support proposed IIROC enforcement alternatives, survey finds

The majority of respondents said the proposed fines for minor rule violations were too low and should be raised A majority of Canadian...

Nov 9, 20182 min read

OSC launches task force to lighten regulation

Creation of internal group reflects shift in approach toward securities regulation by OSC and the provincial government The Ontario...

Nov 8, 20181 min read

RBC I&TS steps up presence in “liquid alt” space

The firm is taking over as custodian to three liquid alt funds Picton Mahoney added to its lineup in late September Royal Bank of...

Nov 8, 20182 min read

CSA streamlines framework for alternative mutual funds

Amendments rename commodity pools, and permit the funds to use leverage, both directly and indirectly The Canadian Securities...

Nov 7, 20181 min read

CSA reminds investors to look out for ETF Facts

Distribution of disclosure documents for ETFs begins in December The Canadian Securities Administrators (CSA) launched a campaign Monday...