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Company: Autorité des marchés financiers

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Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Two of the entities operated as an exchange without regulatory approval, while the third had quarterly report inaccuracies

  • By: IE Staff
  • December 1, 2021 December 1, 2021
  • 13:36
REGULATION CONCEPT

Regulators aim to name CEO, board by Q2 next year

compliance puzzle

Proposal would harmonize standards throughout Quebec's financial sector

Bitcoin

Regulator secures orders against crypto promoters

High angle view of mallet eyeglasses legal book in courtroom

The Quebec regulator achieved its objectives despite the pandemic

angry client meeting

Regulator's priorities for 2021–2022 include curbing compliance costs and ethical AI

Data protection concept. GDPR. EU. Cyber security. Business man using mouse computer with padlock icon and internet technology network on blue background.

Regulator calls on industry firms to "significantly" ramp up their vigilance

gavel

The regulator found the firm's compensation structure favoured in-house funds

Data protection concept. GDPR. EU. Cyber security. Business man using mouse computer with padlock icon and internet technology network on blue background.

The firm failed to adopt recommendations from regulator, internal auditors

Close of businesswoman making announcement in paper trumpet

CSA issues guidance on the use of issuers' ASDPs