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
Regulator will hold one session for investors, another for advisors, industry groups
Regulators examining IIROC policies and procedures
Competing products won't be subject to the same rules
Canadian Securities Administrators chooses CGI to operate SEDAR, SEDI and NRD
Consultation paper sets out recommendations on registration and regulation of firms trading in derivatives