The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization
CGI to take over responsibility of hosting SEDAR, SEDI and NRD on Jan. 13
Requirements follow global efforts to improve transparency in OTC derivatives markets
Exempt market dealers and portfolio managers will now be required to use OBSI’s dispute resolution service
Ban on embedded commissions will hurt middle-class Canadians, association says
Status reports conclude more work is necessary in both areas
Inconsistent measurements of risk in Fund Facts documents would make comparisons between mutual funds more difficult
The proposed amendments aim to improve compliance and investor protection
Exemption would give venture firms easier access to capital, and investors a cheaper way to acquire additional securities
No new date given for transition to new service provider