Examiners discuss how firms should best prepare to ensure exams come to a successful conclusion.
Suggestions include a national registry of beneficial ownership and a monetary threshold to the suspicious transaction r
Strongly encourages regulator to provide an exemption to self-regulatory organization members.
First enhanced annual reports for investors mandatory for the year ending December 31, 2026.
Calls aspects of the regulation contradictory, premature, inadequate and unnecessary.
Martin Guest also currently serving a two-year term with the Financial Services Tribunal.
Responding to the Canadian Securities Administrators’ request for comment, association calls for consultation, reasonabl