Regulator seeks to address concerns about client over-concentration
Two openings on distribution issues committee
Regulators harmonize exemptions and enhance disclosure requirements
OSC publishes guide for online proceedings
Office of the Secretary will make alternate arrangements for hearings up until December
The order was issued in response to the effects of Covid-19 on small businesses
The CSA framework is an important first step, but more details are required, writes the vice president of IIAC
Federal financial regulator to consult on content and pace of policy plans
Proposal would boost reporting threshold from US$100 million to US$3.5 billion
Effective compliance measures mean you’re less likely to lose clients