The CSA’s renewed system project is an opportunity for the regulator to innovate
ESMA is seeking feedback on disclosure requirements
The OSC released its statement of priorities for 2019-2020 on Thursday
The CSA imposed $77.5 million in fines and administrative penalties last year
IIROC survey shows support for protecting vulnerable clients, while CSA suggests best practices
The CSA published its plans for the years through 2022
While the majority of data reporting is accurate, regulators also encountered deficiencies
Committee applications due July 5
The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers
Regulator plans to work with provincial regulators and step up efforts to protect vulnerable investors such as seniors