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Company: Canadian Securities Administrators

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The CSA’s renewed system project is an opportunity for the regulator to innovate

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ESMA is seeking feedback on disclosure requirements

Stacked white books on rules and regulations

The OSC released its statement of priorities for 2019-2020 on Thursday

Gavel and judgement on desk

The CSA imposed $77.5 million in fines and administrative penalties last year

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IIROC survey shows support for protecting vulnerable clients, while CSA suggests best practices

  • By: IE Staff
  • June 21, 2019 July 10, 2019
  • 12:58
Stacked white books on rules and regulations

The CSA published its plans for the years through 2022

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While the majority of data reporting is accurate, regulators also encountered deficiencies

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Committee applications due July 5

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The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers

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Regulator plans to work with provincial regulators and step up efforts to protect vulnerable investors such as seniors