CSA report flags IIROC’s enforcement and business conduct compliance departments
Amendments aim to create streamlined prospectus exemption for rights offerings
Regulators are seeking to answer questions about the possible influence of fee structures on fund sales
The CSA is also sending out investor education tweets during Financial Literacy Month
Update on early warning reporting system project notes industry concerns
Finance professor to investigate whether commissions influence fund sales
Regulators disagree over the approach to reporting certain off-book positions to clients
Proposed amendments are designed to provide target boards with additional time to respond to hostile bids
Changes aim to more readily flag possible concerns about the quality of audit work
Regulators aim to create fair and consistent product regulation across the spectrum of retail investment funds