Guidance aims to allow more tailored setups for compliance officers
A court ruling against the SEC has implications for Canada
A ban on trailers for discounters, a stronger OBSI and protecting seniors remain priorities for the CSA
Proposal is one of several set out in SRO's priorities for the current year
Examination of the self-regulatory framework runs until Oct. 23
CSA consultation will focus on self-regulation, not necessarily consolidation
Referrals between CSA members increased in the last fiscal year
SEC rules take effect June 30
Regulatory co-operation agreement aims to facilitate international access for innovators
Regulators draw line between client service, stock picking duties