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Company: Canadian Securities Administrators

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Laura Belloni succeeds Kim Lachapelle

  • September 17, 2018 September 18, 2018
  • 12:08
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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”

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The province’s new government has come out against regulators’ proposals to ban DSCs on mutual funds, which were released for public comment Thursday

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Proposal would give regulators a stronger tool to take appropriate action against companies misleading investors

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How will firms be able to address conflicts of interest in four common scenarios?

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A pair of notices offer direction for investment dealers and fund managers

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Panel expresses concern that DSC products may be sold more aggressively in advance of the prohibition being fully implemented

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Panels will examined the CSA’s proposed registration and business conduct regimes

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

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