Although regulators have yet to make a decision on the matter, they’re formally considering whether to mandate a “direct pay” structure
The association notes that the CSA’s and the self-regulatory organizations’ rules already address compensation-related conflicts of interest
Dan Richards, CEO, Client Insights and Rebecca Cowdery, partner at Borden Ladner Gervais LLP, discuss the Canadian Securities Administrators' proposal to make alternative funds available to retail investors, with heightened restrictions. Comments close Dec. 21.
The regulators will now release the paper on Jan. 10, 2017, which will go then go out for a longer than usual comment period of 150 days
The methodology estimates a fee, or a fee range, for each marketplace based on its contribution to price discovery and trading activity
The new requirements for Fund Facts and the newly announced ETF Facts would come into effect in March and will be required as of September
Signature-related shenanigans is an issue fro the CSA
The regulators issued a statement on Tuesday following news that the Competition Bureau has discontinued an investigation into TMX Group
Although the MFDA’s processes are “effective, efficient and applied consistently and fairly,” it could take a harder line against registrants
The discussion will focus on examining cybersecurity in the securities industry and possible approaches to dealing with cyberattacks