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Regulators begin review of principal distributor arrangements in mutual funds

Survey of investment fund managers distributed in early September.

INVESTMENT | September 26 2022 10:55AM
Regulator publishes annual report

Ahead of self-regulatory organization amalgamation, IIROC discusses progress made against stated strategic plans.

INVESTMENT | September 20 2022 10:55AM
Regulators issue warning about suspicious e-mails

The email appears to come from a member of the CSA through a fraudulent domain name.

SOCIETY | August 29 2022 10:16AM
Regulators expects crypto trading platforms to provide pre-registration details

Crypto trading platforms must agree to comply with terms.

INVESTMENT | August 18 2022 10:23AM
CSA to hold roundtable on proposed derivatives business conduct rule

CSA revises proposed rules.

SOCIETY | August 16 2022 10:37AM
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Regulators announce establishment of new Investor Advisory Panel

The Canadian Securities Administrators’ Investor Advisory Panel aims to provide insight into retail investors' interests…

INVESTMENT | July 15 2022 03:18PM
Regulator levies massive fine in misappropriation case

London, Ontario dealing representative failed to account for nearly $1.4-million before vanishing once his conduct was d…

INVESTMENT | July 05 2022 03:10PM