The move is intended to reduce regulatory uncertainty following the CSA’s plan to propose rule changes
The new business conduct regime would set out certain requirements for those dealing in the derivatives market
The three academics will determine the design of the pilot study using the U.S SEC’s proposed transaction fee pilot as a basis
A former contractor accessed personal and business information electronically on the web-based system registrants use to file information with regulators
Stakeholders expressed “general support” during consultation
There are key steps advisors can take now to be ahead of the game and deliver better outcomes for clients
New revisions address complaints from institutional investors and foreign investment dealers
Issuers’ use of non-GAAP financial measures remains an area of focus
Lower revenue and higher compliance costs may force smaller firms out of business and impact advisor compensation
2017/18 report shows how regulators work collaboratively to address violators