CSA moves to improve risk disclosure
The regulators are looking to assess whether there is a problem with services that are not currently subject to any regulatory oversight
Clearing will enhance transparency for regulators and mitigate risks
CSA responds to feedback from stakeholders in consultation paper due next week
Proposals form the second part of the Client Relationship Model
Canada’s reputation sullied by firms engaged in abusive activities in the U.S. OTC markets
DBRS, Fitch, Moody’s and S&P recognized as DROs under new regulatory framework
Two fund manager registration models have been proposed by regulators
Two new CSA notices provide clear guidance to assist issuers in preparing and filing exempt market documents
Rule changes, to take effect Oct. 10, aim to ensure that small investors are protected