Securities regulators ordered more than $42 million in restitution, compensation and disgorgement
The proposals are out for a 60-day comment period
Financial industry can be the first line of defence against exploitation of vulnerable investors
At a joint meeting, regulators focused on harmonizing total cost reporting for mutual funds and seg funds
The CSA said it expects timely and transparent disclosure of exchange and ATS glitches
The regulator has adopted rule changes to end DSCs by June 2022
Improving the CSA makes more sense than trying to create another national regulator
Regulators warned of a rise in scams involving fraudsters posing as well-known financial firms
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
The final rules will take effect Aug. 25 and apply to financial year-ends after Oct. 15