Self-regulatory organization hosts webinar outlining operations expectations

Examiners discuss how firms should best prepare to ensure exams come to a successful conclusion.

INVESTMENT | September 20 2023 03:11PM
Investment association submits comments on money laundering legislation

Suggestions include a national registry of beneficial ownership and a monetary threshold to the suspicious transaction r…

INVESTMENT | August 23 2023 09:30AM
Association says advisory title fees in Ontario need rethinking

Strongly encourages regulator to provide an exemption to self-regulatory organization members.

SOCIETY | June 29 2023 10:49AM
Insurance and securities regulators jointly publish total cost reporting rules

First enhanced annual reports for investors mandatory for the year ending December 31, 2026.

SOCIETY | April 21 2023 10:54AM
Industry association responds to Quebec’s draft dispute resolution regulation

Calls aspects of the regulation contradictory, premature, inadequate and unnecessary.

INVESTMENT | March 07 2023 04:00PM
Former Manulife chief counsel joins association advisory board

Martin Guest also currently serving a two-year term with the Financial Services Tribunal.

INVESTMENT | January 17 2023 09:22AM
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