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
A CSA proposal out for a 120-day comment period aims to enhance the quality and cost of financial reporting
New KYP requirements put the spotlight on firm and advisor product knowledge
Regulators will examine diversity efforts, with possible reforms in mind
The scheme uses the fund company's logo, and falsely claims FCAC and CDIC protection
The province changed its position based on “overwhelming” support for a harmonized ban
The OSC advisory group is facing a long list of investor issues
Regulators to designate CDOR as the only regulated financial benchmark in Canada