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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
Regulator publishes proposed proficiency model for approved persons

New model discontinues some mandatory training and introduces new requirements.

SOCIETY | July 12 2023 10:00AM
Crypto websites falsely claim regulatory oversight

Regulators warning about sites claiming affiliation with fictitious dispute resolution organizations.

INVESTMENT | June 28 2023 09:30AM
Financial regulators convene total cost reporting committee

Regulators jointly issue statement announcing committee’s intent to provide implementation support.

LIFE INSURANCE | June 15 2023 09:30AM
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Regulators warn advisors and investors alike about targeted impersonation schemes

Separate communications encourage targets to independently verify unsolicited requests.

INVESTMENT | May 31 2023 10:48AM
Conflicts of interest highlighted in British Columbia compliance review

Top conflicts related to referral arrangements, compensation practices and gifting.

INVESTMENT | May 30 2023 10:47AM