Retail investors who feel forgotten or ignored by securities industry enforcers are about to see some changes. Regulators plan to crack down on small-investor exploitation, abusive sales practices, inadequate disclosure and even mutual fund management expense ratios.Small investors are not usually high on the securities commissions’ list of enforcement priorities. Scarce resources and a mandate […]
ICAO, Ontario Chamber of Commerce to lead consultations
St-Gelais succeeds Sibold
CSA offers guidance on elimination of foreign property rule
New rule replaces most existing local CD requirements
Applications due by March 1
Regulators plan to have institutional trade-matching rule in force by start of 2006
Consulation to determine whether any action is required
Applicants may qualify for exemptive relief
Measure aims to improve quality of financial statements