What regulators will decide to do on this remains unclear — and the discussions held on Monday did little to clarify the issue
Former issues of false signatures and firm discipline resolved
The committee provides securities regulators with insight into the mining industry
The new documents share many similarities to Fund Facts for mutual funds, but contain information specific to ETFs as they’re traded on exchanges
Although firms have long asked for more streamlined rules, there are some requirements many would like to retain
Canadian regulators have followed in the SEC’s footsteps, as the U.S. regulator took a similar approach in July
The CSA says most current trade processing practices will be adequate
The provincial regulators placed significant efforts through video and other campaigns to make investors aware of these growing issues
The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client assets
Regulars say false and misleading applications pose a serious problem