Fees as a share of industry revenues and profits have continued to decline
Revised KYP and product due diligence guidance accompany the rule changes
A virtual panel will examine a range of regulatory issues driven by the rise of ESG investing
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
The ruling includes investment limits, disclosure rules and regulatory reporting conditions
Annual report from OSC compliance branch signals exam targets for the year ahead
The CSA's plan received broad support, but there's plenty of work to do on the details
Consolidated rules and enhanced governance will be part of the changes
The proposal would allow eligible issuers to raise up to $10 million annually
Fund dealers' first CE cycle to kick off on Dec. 1