Discussion will focus on whether dealers and advisors should be subject to a best interest standard when providing advice to retail clients, and the alternatives to such a standard
Securities regulators release three-year business plan
The regulation of access has become ever more critical to the overall regulation of electronic trading
Industry members discuss possible costs of adopting a statutory best interest standard for advisors and dealers
CSA extends deadline for fund rule comments
Fund companies must use Fund Facts document instead of a simplified prospectus but point-of-sale disclosure is still on hold
Eleanor Farrell, director, Office of the Investor, Ontario Securities Commission, discusses the consultation paper on the introduction of a statutory best interest standard for advisors and dealers. She outlines five concerns the Canadian Securities Administrators have with the current know your client, suitability, and know your product standard. Farrell spoke at the CIRPs annual conference in Niagara Falls, Ont.
Regulators aim to achieve a harmonized derivatives trade reporting regime across Canada
The CSA and Quebec’s AMF have proposed different approaches to defense strategies in hostile takeover battles
The changes will increase the range of permissible pre-marketing and marketing activities