Amendments to protect older and vulnerable clients to go into force at year-end

The Canadian Securities Administrators will soon finalize amendments made to National Instrument 31-103 and its companio…

SOCIETY | April 16 2021 03:15PM
Consultation launched on capital and liquidity expectations for insurers

The Office of the Superintendent of Financial Institutions is seeking feedback on its assurance expectations for federal…

SOCIETY | April 15 2021 09:43AM
Regulator’s consumer advisory panel reports on inaugural year

The Financial Services Regulatory Authority of Ontario has published a report outlining the consultation FSRA has engage…

SOCIETY | April 12 2021 02:00PM
Regulator to reduce sanctions and penalties under new early resolution program

The Investment Industry Regulatory Organization of Canada is offering to reduce sanctions if an individual or firm guilt…

INVESTMENT | April 12 2021 10:30AM
Organization behind national regulator project quietly shutters operations

The Capital Markets Authority Implementation Organization has closed up shop, saying it is pausing operations.

INVESTMENT | April 07 2021 02:14PM
Regulator: Pay misconduct penalty or put driving privileges at risk

The British Columbia Securities Commission will be able to block the issuance or renewal of a driver's licence to anyone…

INVESTMENT | April 01 2021 02:08PM
Two regulators adopt self-certified investor prospectus exemption

The exemption aims to provide greater access to capital for businesses and broaden investment opportunities for investor…

INVESTMENT | April 01 2021 12:10PM