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Company: Canadian Securities Administrators

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guidelines and regulations binders

The move is intended to reduce regulatory uncertainty following the CSA’s plan to propose rule changes

Business meeting concept illustration in an aerial view with people sitting around a conference table

The new business conduct regime would set out certain requirements for those dealing in the derivatives market

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

The three academics will determine the design of the pilot study using the U.S SEC’s proposed transaction fee pilot as a basis

  • By: IE Staff
  • August 1, 2018 August 1, 2018
  • 11:30
cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background

A former contractor accessed personal and business information electronically on the web-based system registrants use to file information with regulators

  • By: IE Staff
  • July 27, 2018 July 27, 2018
  • 19:20
Corporate Business Team clapping success at Boardroom meeting

Stakeholders expressed “general support” during consultation

  • July 26, 2018 July 26, 2018
  • 11:45
a business man running ahead of the crowd

There are key steps advisors can take now to be ahead of the game and deliver better outcomes for clients

Office buildings in Toronto’s financial district

New revisions address complaints from institutional investors and foreign investment dealers

Calculator pen, balance sheet and statistics for sales and taxes

Issuers’ use of non-GAAP financial measures remains an area of focus

professional woman meeting male advisor

Lower revenue and higher compliance costs may force smaller firms out of business and impact advisor compensation

gavel with $100-bill background

2017/18 report shows how regulators work collaboratively to address violators