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Keyword: Regulatory reform

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Partners discussing new plans

Closing the circle to benefit investors

SRO reform can lead to a better outcome for dealers and their clients

rules and regulations

IIROC seeks to tweak rules as overhaul delayed

SRO proposes early adoption of provisions from plain language rewrite

Queen's Park, Ontario legislature, exterior

Open for business? Sure. DSC monkey business? No, thanks

Investors, industry pan the OSC's DSC preservation proposals

Happy businesswoman handshaking with client closing deal in an office interior with a window in the background

The case for self-regulation

Why SROs work well for investors and the industry

Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizing profits for large business organizations. (Taxpayer's desk and excise documents to import and export industrial goods for the purpose of maximizin

Regulators sticking to their plan

A ban on trailers for discounters, a stronger OBSI and protecting seniors remain priorities for the CSA

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

SRO consolidation is no fait accompli, says OSC head

CSA consultation will focus on self-regulation, not necessarily consolidation

EU flags waving in front of European Parliament building. Brussels, Belgium

EU capital market integration would boost asset managers: Moody’s

Proposals to break down internal barriers would bolster markets and fund managers

16253748 - hand of a businesswoman at her desk with a pen and a clipboard

Investor Advisory Panel to focus on pandemic’s impacts, CFRs

The OSC committee outlined past and present initiatives in its annual report

  • By: IE Staff
  • May 7, 2020 May 7, 2020
  • 14:33
notepad, laptop and coffee cup on wood table

OSC hits pause on priorities

The regulator scraps its usual policy agenda consultation amid Covid-19

mature businessman thinking at desk in office

Regulatory overhaul?

MFDA proposes creation of new, comprehensive SRO for registered firms