Research points to inadequate conflicts regulation, among other shortcomings
The CSA doubles short-term borrowing limits to ensure funds can meet redemptions
The SEC seeks comment on rules that aim to prevent investor deception
The industry group is calling on regulators to develop a proficiency regime for fund reps
The new guidance takes effect Sept. 30
“We’ve got to keep the standards high,” says PMAC president
Compliance exams uncover an inappropriate one-size-fits-all approach
Regulators need to introduce systemic changes that will control the growth of regulation, improve regulatory efficiency and reduce the regulatory burden
A review led by OSC and AMF staff is being conducted this year with a target for mid-2018 for proposed rule amendments and comments
IOSCO report examines examines investment fund liquidity management tools in 26 jurisdictions around the world