Illegal distributions remain the biggest violation that regulators are confronting
Regulator wants to crunch data for study on the effect of commissions on sales. But few companies have co-operated
CSA provides update on the regulation of alternative investment funds
Mandatory clearing of OTC derivatives intended to improve transparency
There are “divergent views” on many aspects of a proposed standardized risk classification methodology
CSA proposes that some OTC derivatives be required to trade exclusively on exchanges
Progress report proposes five improvements
Deadline for new reports on investment cost and portfolio performance remains July 15, 2016
IIROC says its requirements to report fees and performance are generally consistent with the CSA’s CRM2 amendments
The industry association says its proposed modifications are in the best interests of investors