Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
FSRA says higher fees due to rising technology, business costs
SRO drops firm sponsorship requirement, among other changes
With cash flow stabilized, the national association for financial advisors is planning for recovery
SRO integration and investor protection also on the agenda
To avoid a fee, 31 days’ notice will be required
Regulator follows CISRO, FSRA with tougher exam administration policy
The regulator also wants to toughen enforcement and see better advice given at banks
Claim asks for $1.2 million in damages arising from dispute over regulator-approved credentials for title protection
Expanding access to advice, standardizing KYC data collection on SRO's agenda