CSA to hold roundtable on proposed derivatives business conduct rule

CSA revises proposed rules.

SOCIETY | August 16 2022 10:37AM
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
Regulators publish enforcement report

Investor alerts, bans and jail time discussed, alongside regulatory initiatives to address emerging threats in annual re…

INVESTMENT | June 30 2022 10:50AM
Investment firms’ association comments on single self-regulator

Responding to the Canadian Securities Administrators’ request for comment, association calls for consultation, reasonabl…

INVESTMENT | June 29 2022 10:59AM
Regulators publish three-year business plan

Canadian Securities Administrators focus on investor protection in 2022-2025 priorities.

INVESTMENT | June 29 2022 10:03AM
Investment funds industry association weighs in on single regulator

Response to regulators says 45-day consultation period insufficient for providing comments on several important issues, …

INVESTMENT | June 28 2022 10:50AM