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
New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors
The CSA will hold consultations on enhancing diversity while the U.K. considers targets, pay links and enforcement
An oversight examination has uncovered just one "low-priority" issue with market surveillance
Regulators are granting relief from certain CFR requirements to allow DSC sales until a ban takes effect
New rules increase maximum limits for issuers and investors