Regulator reported a jump in filings in Q4
Regulators expand list of qualifying courses to sell liquid alts
The securities regulator has released its draft priorities for fiscal 2021-2022
Walied Soliman, chair of the Ontario Capital Markets Modernization Taskforce, offered a preview of the task force’s final report on Wednesday
The revisions aim to reduce redundant requirements on trading venues
Province considering whether to allow virtual document signing permanently and whether marriage should still revoke a will
The umbrella group for North American securities regulators has identified 244 scams
The amendments are aimed at reducing regulatory burden without comprising investor protection
SRO reform can lead to a better outcome for dealers and their clients
The SRO staff's authority to rule on exemption applications has been extended