FREE Membership Sign in

JavaScript is disabled in your browser.

In order visualise this page, please follow these steps.

Investment firms’ association comments on single self-regulator

By Kate McCaffery | June 29, 2022, 10:59 a.m.

Responding to the Canadian Securities Administrators’ request for comment, association calls for consultation, reasonable timelines and operational considerations.

This article is reserved to PRO Level subscribers

Discover the PRO Level

The most popular in Investment

Former Manulife chief counsel joins association advisory board

New self-regulatory organization appoints investor advisory panel

Regulator levies $10,000 fine for signature falsification

Headlines

New regulator considers returning disgorged funds to harmed investors

AXA XL promotes new chief financial officer

Investment industry association makes submission to banking and investment ombudsman

Related topics …

Flash

New regulator considers returning disgorged funds to harmed investors

Investment industry association makes submission to banking and investment ombudsman

Sun Life sells sponsored markets business, buys stake in U.S. distribution

Association’s new president outlines priorities for 2023

CHAMBRE DE LA SÉCURITÉ FINANCIÈRE (CSF)

Appropriation of funds: Guilty verdict

Investment funds industry association weighs in on single regulator

Incorporation of mutual fund advisors not part of new SRO’s agenda

CSA proposes board members, publishes applications for recognition of new SRO

CANADIAN SECURITIES ADMINISTRATORS (CSA)

Morisset to leave the Autorité des marchés financiers in July

Canadian Securities Administrators issues scam alert

New self-regulatory organization launches officially

Securities regulators publish systemic risk survey results

AUTORITÉ DES MARCHÉS FINANCIERS (AMF)

Quebec regulator aims to optimize the compliance burden

Canadian regulators approve and recognize new self-regulatory organization

Insurance in the age of fintechs

Voluntary group critical illness insurance makes a breakthrough

INVESTMENT INDUSTRY ASSOCIATION OF CANADA (IIAC)

Former Manulife chief counsel joins association advisory board

Proper training and controls can mitigate insider cyber threats

Client-focused reforms: advisor experience needs improvement

Industry groups respond to regulators’ self-regulatory organization consultation paper

Regulation

Credit union regulator in Ontario publishes new guidance for comment

Industry reacts to Alberta’s auto insurance rate freeze decision

Ontario regulator strikes auto reform advisory committee

Association continues lobbying provinces ahead of provincial budget releases

Investment firms’ association comments on single self-regulator

Choose your payment method

Confirmation