Canadian regulators levied much more in monetary penalties and ordered more disgorgement and compensation in 2015
Canada’s provincial regulators also published final amendments to the “early warning” system on Thursday
The revised scope of application addresses concerns of market participants regarding indirect clearing
Illegal distribution cases remain the biggest issue for regulators
Edwin Weinstein and Douglas Cumming explained the results of their work in a webinar, but steered clear of suggesting specific regulatory intervention
Authors of report on mutual fund fee and distribution structures respond to many questions about their research
Two notices intended to help the industry and investors understand the most recent developments
New rules harmonized with regimes in Manitoba, Ontario and Quebec
The proposals aim to guard against systemic risk and boost customer protection in derivatives markets
CSA staff notice says this type of financial reporting “may mislead investors” if it’s not accompanied by appropriate disclosure