Company: Canadian Securities Administrators

922 results found
plan idea

Annual report from OSC compliance branch signals exam targets for the year ahead

Silhouttes of Two Business People Having a Handshake

The CSA's plan received broad support, but there's plenty of work to do on the details

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Consolidated rules and enhanced governance will be part of the changes

Financial stock exchange market display screen board on the street

The proposal would allow eligible issuers to raise up to $10 million annually

  • By: IE Staff
  • July 28, 2021 July 28, 2021
  • 15:04
think outside of the box

Fund dealers' first CE cycle to kick off on Dec. 1

client meeting

New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors

diversity

The CSA will hold consultations on enhancing diversity while the U.K. considers targets, pay links and enforcement

business man using magnifying glass to inspect documents

An oversight examination has uncovered just one "low-priority" issue with market surveillance

suspicious client

Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect

map of Canada

New rules increase maximum limits for issuers and investors