On October 30, the Ontario Securities Commission hosted an event in Toronto featuring senior representatives from securities regulators and industry organizations, who discussed the top issues affecting investors and market participants in today’s complex and interconnected capital markets.
October 31, 2012The expense of these two disclosure initiatives shouldn’t be passed on to investors
Proposed IIROC definition is too broad, says Kloet
Paper will examine whether regulatory measures are necessary to ensure that investors are being treated fairly
Four new members named to panel
Meaningful protection requires legislative change
The CSA plans to publish proposals that would make OBSI the mandatory dispute resolution mechanism for all dealers
Wetston says the OSC is keeping a close watch on the changes wrought by globalization, technological advancement and product innovation
The cease-trade order on all 11 ETFs from Emerge Canada Inc. represented the first time such an order had been placed on a family of…
Follow our coverage of Bridging Finance Inc., a portfolio manager and exempt market dealer based in Toronto.
Investment Executive's brand-new survey of independent insurance advisors unveils their challenges plus key industry trends
