Under the CSA proposal, only investment dealers can provide direct access, and only portfolio managers can use it
Regulators looking for feedback on requiring advisors to act in their clients’ best interests
Survey reveals Canadians remain susceptible to investment fraud
The new version of a proposed rule supports unique interim financial statements for venture-level firms
Regulators change course on quarterly reports
Regulators take action to ensure PPN sales are subject to KYC, suitability rules
Later this fall, CTOs will be classified into two new distinct groups
Regulators aim to address compliance problems with “preliminary economic assessments”
Deadline extended to September 21
New rule imposes disclosure requirements on issuers that are quoted on the U.S. OTC markets and have a "significant connection" to a Canadian jurisdiction