The event will focus on whether Canada offers an environment that allows fintech innovation and best international practices for fostering innovation
Large asset managers are better positioned to absorb the added compliance costs, a new report from Moody’s finds
This is the second time that the SRO has extended the comment period on proposed new guidance regarding discount brokers
Julie Rochette, previously director, enforcement and legal counsel with the MX, has taken over the role from Brian Gelfand
The CSA's paper envisages a sweeping ban on trailer fees
Although the industry is in favour of expanding investors' access to alternative investments, investor advocates are opposed
The SRO is launching a second round of consultations on the actual rules that would impact mutual fund dealer reps
Five of Canada’s provincial securities commissions issued a notice on Thursday warning that some issuers may be abusing shareholders in the way they’re structuring exempt-rights offerings. In particular, the regulators say in the notice that they have concerns with structures that are potentially abusive: “For example, we may have concerns where a rights offering is […]
The recommendations are designed to increase transparency in liquidity mismatch and focus on measuring and monitoring leverage in investment funds
Regulators are concerned that a product that’s restricted, or banned, for investment firms could still be distributed directly by fund managers