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Associations comment on SRO questions posed by the CSA

IFIC and PMAC have both published comments regarding the CSA’s review of the regulatory framework governing the industry…

INVESTMENT | October 26 2020 01:30PM
Education and collaboration needed to combat financial exploitation of seniors

A recent CanAge roundtable discussed ways to stop financial exploitation of Canada’s seniors.

SOCIETY | October 13 2020 03:05PM
Ban on trailing commissions for order-execution-only brokers adopted

The Canadian Securities Administrators have adopted rules that ban trailing commissions for order-execution-only brokers…

INVESTMENT | September 21 2020 04:12PM
CSA members unhappy with report on how OSC wants to modernize

Members of the Canadian Securities Administrators have taken issue with a task force report on Ontario’s moves to modern…

INVESTMENT | September 04 2020 03:00PM
IIROC takes on expanded role of information processor for CSA

IIROC announced that the first phase of its expanded role as the information processor of government debt securities for…

INVESTMENT | September 02 2020 01:30PM
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CSA publishes multi-year research study on investor attitudes and behaviours

Study finds that CRM2 and point of sale reforms have made Canadians more confident in their ability to assess investment…

INVESTMENT | August 31 2020 09:30AM
IFIC makes CSA submission regarding enhanced protections for vulnerable clients

IFIC is urging the CSA to provide “safe harbour” for advisors who use proposed temporary hold provisions when they have …

INVESTMENT | July 21 2020 01:00PM