Systemic risks in capital markets include the possibility of dealer failure

Securities administrators publish risk committee’s annual report for the first time.

SOCIETY | February 16 2024 10:24AM
Ontario bans former Alberta representative from participating in capital markets

Inter-jurisdictional order mirrors Alberta Securities Commission sanctions in suitability case.

INVESTMENT | October 31 2023 09:54AM
Canadian Securities Administrators’ members levy more than $18-million in fines

Activities in 2022 and 2023 include the pursuit of jail time for offenders and extensive investor outreach.

SOCIETY | September 11 2023 10:26AM
Regulators to review exchange-traded fund rules

Canadian Securities Administrators launch an assessment of currently applicable regulations.

INVESTMENT | August 14 2023 10:24AM
Regulators publish joint guidance on conflicts of interest following review

Report summarizes practices in place to manage conflicts at 172 firms analyzed.

INVESTMENT | August 09 2023 10:11AM
Insurance and securities regulators jointly publish total cost reporting rules

First enhanced annual reports for investors mandatory for the year ending December 31, 2026.

SOCIETY | April 21 2023 10:54AM
Securities regulators publish summary of investor education initiatives

Extensive annual report details national, provincial and territorial efforts.

SOCIETY | November 01 2022 10:49AM