Ontario Securities Commission reviewing KYC process for accredited investors
Geoff Creighton, chairman of the Canadian Corporate Counsel Association, strives to connect the legal and business sides of financial services
Two new CSA notices provide clear guidance to assist issuers in preparing and filing exempt market documents
Riskier firms will be examined more frequently, regulator says
In part 4 of this series, Ellen Bessner, a litigation partner at Cassels, Brock and Blackwell LLP, argues that advisors shouldn't hide from their compliance departments. She spoke at TMX Broadcast Centre in Toronto.
Deficiencies found during Independent Accountants’ Investment Group compliance exam
Advisors have a responsibility to ensure they’re using social media in a compliant manner
Suitability has been a particularly problematic area
Abuse of the accredited investor exemption is the number one problem, says OSC manager
Review outlines concerns with disclosure, governance, listing and auditing