Company: Canadian Securities Administrators

772 results found
smiling young couple shaking hands with investment advisor

Experts weigh in on what the new CFRs mean for advisors and investors

rules and regulations written on folder

FINRA has developed resources to help firms comply with the SEC's new conduct rules

Comments are due Jan. 2

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The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients

Female advisor meeting with male client at hotel lobby

Fees and registration are the focus of two CSA campaigns this month

rules and regulations written on folder

The proposed changes include an exemption from delivering Fund Facts disclosure for certain purchases

rules and regulations written on folder

The regulator proposed changes to rules for filing reports detailing significant acquisitions

Several global industry trade groups voiced concerns about proposed rule changes

compliance solutions rubber stamp

The guidance aims to help firms identify and engage appropriate consultants

Miniature of business men observing maze risk concept

Regulators stop short of going ahead with OBSI recommendations