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New CSA rules allow portfolio managers to use client relationship management specialists

The CSA has announced that portfolio managers may sponsor individuals for registration as client relationship management…

INVESTMENT | June 11 2020 03:45PM
IIROC proposes SRO consolidation, MFDA rebuffs the idea

IIROC released a proposal June 9, which proposes to bring IIROC and the MFDA together as divisions of one consolidated, …

INVESTMENT | June 10 2020 03:33PM
CSA expands IIROC’s responsibilities

The Investment Industry Regulatory Organization of Canada announced that the Canadian Securities Administrators has expa…

INVESTMENT | June 04 2020 02:00PM
COVID-19: CSA extends relief for mutual funds

Due to the pandemic, the Canadian Securities Administrators (CSA) is extending the temporary relief for filing prospectu…

INVESTMENT | May 25 2020 03:30PM
CSA extends implementation of Client Focused Reforms

The Canadian Securities Administrators (CSA) is giving firms more time to implement the conflict of interest provisions …

ENTREPRENEURSHIP | April 17 2020 10:00AM
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Short-selling and LICAT changes: Regulators respond to COVID-19

New statements from regulators address recent moves they have made to help market participants manage challenges created…

INVESTMENT | April 13 2020 10:16AM
Regulators warn against coronavirus-related investment scams

The CSA has issued a warning to investors about companies claiming to have products or services that will prevent, detec…

INVESTMENT | March 19 2020 03:54PM