Both the MFDA and IIROC allow a two-year transition period for firms to get in compliance
Both IIROC and the CSA have released notices on regulations concerning outside business activities for financial advisors. Regulators and legal experts say the rules have been clarified; but from a practical standpoint, little has changed
Some securities regulators are stepping up supervision of promotional ads by issuers, often smaller resources companies
Search for a satisfactory governance model drags on
Canada may have suffered only a mild version of the financial crisis, but the episode awoke Canadian policy-makers to the dangers of complex products and the threat of systemic risk. The latest result of this awakening is an effort to recast the exempt market and steer small investors clear of such convoluted investments.There has been […]
Leading the Canadian Securities Administrators is no easy task as it faces the possible creation of a national securities regulator
Amendments designed to prevent trade-throughs
ASC CEO replaces Quebec’s St-Gelais
"Dark trading" and other structural issues
A new report proposes rules for “dark” trading, attempting to strike a balance between its advantages and its disadvantages