TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements
SPAC provides advice to the commission on administrative tribunal hearings
Other tax changes now in effect include passive income changes for small businesses and new carbon pricing system
Regulator warns of heightened threats regarding emerging industries, such as cannabis and cryptocurrencies
Firms sanctioned for making misleading statements to investors
Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs
Dow drops more than 460 points
Each party has different roles and responsibilities, and different regulatory obligations, to the client
The committee gives advice on proficiency policy and operations, helps develop educational standards and reviews course materials and proposals
The proposed rules will improve the accuracy of measuring banks’ exposures and lead to better decision making
CSA to co-ordinate with U.S. regulator
An IIROC hearing panel sanctioned a rep for misstatements regarding his dismissal from a previous firm, after the SRO had decided to grant him registration
Firm using fake document to solicit investments, OSC says
Major reforms to the dispute resolution service’s mandate require action from regulators
The man was arrested in November after he failed to appear at his trial
Current and former directors and officers will collectively pay millions of dollars more in penalties
Planned BCP test to coincide with test in the U.S.
Proposed pilot would examine the effects of a prohibition of rebate payments by Canadian marketplaces
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees
The RAC serves as a forum to discuss compliance and registration issues
Cheop was deputy director and secretary of the commission from 1986 to 1998
PMAC wants CSA to leave pooled funds out of client-focused reforms
Reforms would limit banks’ exposures to a single counterparty, or closely connected groups of firms
Proposals aim to address concerns that too many small orders are being traded in the dark without price improvement