Laura Belloni succeeds Kim Lachapelle
The new platform, which the CSA says will replace its current system, “will capture a broad array of market and transaction data to improve insight and support market integrity”
The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday
Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors
How will firms be able to address conflicts of interest in four common scenarios?
A pair of notices offer direction for investment dealers and fund managers
Panel expresses concern that DSC products may be sold more aggressively in advance of the prohibition being fully implemented
Panels will examined the CSA’s proposed registration and business conduct regimes
The move is intended to reduce regulatory uncertainty following the CSA’s plan to propose rule changes
The new business conduct regime would set out certain requirements for those dealing in the derivatives market