Proposals include stronger protection for client assets, clarity for EMD activities and relief from certain CRM2 requirements
Regulators issue consultation paper
A new report details accomplishments under the regulators’ three-year business plan
Electronic delivery is the most efficient method of delivering documents, IIROC says
Fund industry group says CSA should wait until effects of existing reforms are known
Several markets will be considered unprotected for the purposes of the revised order protection rule
Financial planners and advisors who are securities registrants will need to use financial planning principles to deliver investment advice
A single system will replace SEDAR, SEDI, NRD, the cease-trade order database, and the national registration search and discipline list
Canada to adopt T+2 settlement on Sept. 5, 2017
Possible reform of mutual fund fees