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
Although regulators don’t oppose these arrangements, it stresses that dealers and portfolio managers must satisfy their regulatory obligations
Securities regulators have produced a series of videos designed to help demystify certain aspects of the CRM2 reforms for clients
The guidance aims to address the unintended consequences of new requirements that came into effect this past April
However, more work needs to be done as the total percentage of board seats occupied by women is just 12% vs 11% a year ago
Regulators are looking to increase cybersecurity in Canada’s capital markets as cyber threats have evolved and the potential for damage is rising