In its annual statement of priorities, regulator reinforces its commitment to CSA’s proposed reforms and bolstering banking ombudsman
CSA says self-regulatory organization meets terms and conditions of its recognition order
CSA report highlights investor education activities
Industry groups and investor advocates agreed on some of the proposed rules, but opinions were divided on the decision to allow embedded commissions to remain in place
Dealers and advisors can breathe a sigh of relief that there is no blanket ban on trailer commissions and no statutory best interest standard
But regulators are banning DSCs and enhancing regulatory requirements for registrants to avoid situations that place them in a conflict of interest
The effects of financial abuse frequently go well beyond the pocketbook
CSA issues a second request for comment
The new guidance aims to address when an offering of tokens involves an offering of securities
Regulators will propose eliminating redundant disclosure and making greater use of online technology to communicate with investors