Making FICOM a Crown agency is intended to strengthen oversight of the financial services sector
Laura Belloni succeeds Kim Lachapelle
The proposed amendments are designed to reflect market developments since 2004
The mutual fund industry trade group support’s the CSA’s proposed ban on titles that are based on sales activity
The new platform, which the CSA says will replace its current system, “will capture a broad array of market and transaction data to improve insight…
The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday
New members include experts in aging and health, investor advocates and industry personnel
Global regulators and industry executives will address opportunities and challenges in capital markets
Technology may make it easier for securities firms to strengthen their compliance programs
The proposed changes aim boost trading volume and enhance market quality
Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors
A female advisor misappropriated more than $31,000 from her father, who was a client
The aim of the test is to raise the standards and competence of advisors
New guidance aims to bring mutual fund dealer arrangements under consistent regulatory oversight
No need for immediate regulatory action, regulators say
Modern slavery affects tens of millions of people around the world, and Canadian companies may be directly or indirectly exposed
Eric Tremblay admitted he misled OSC staff investigating insider trading involving Amaya Gaming Group
Members will gather to elect directors
How will firms be able to address conflicts of interest in four common scenarios?
A 2016 compliance exam identified inadequate due diligence with regard to exempt market products
The SRO has made significant progress in achieving the priorities laid out in our three-year strategic plan
Canadian citizens filed US$10 million in false tax refund claims with the IRS
Board members bring valuable perspectives, CEO says
More than 200 active investigations by state and provincial securities regulators