The regulator, which published its list of priorities for 2018, will also examine wrap programs and the possible exploitation of senior investors
The SRO has laid out its priorities for 2017 in a notice published on Thursday
Firms can make the business more appealing to women by altering their compensation models for rookie advisors, Cerulli report finds
There are three new members on the OSC’s key securities advisory committee for the 2017-20 term
Banc De Binary’s authorization will lapse as of Jan. 15 as the firm remains under the CySEC’s supervision until it settles its obligations
A notable deceleration in emerging markets drove the slowdown while developed markets saw continued modest credit growth
Although total private sector issuance in advanced economies rose by 3% during the year, emerging-market issuance rose by 22%
But PMAC stands behind the CSA’s concerns with these compensation arrangements and says regulators are “taking a bold step forward”
Accenture survey finds “most Canadian companies do not have effective technology in place to monitor for cyberattacks”
Vernon Smith, who was sentenced to 15 months in jail last year, will make his first court appearance on Feb. 3 to address the latest allegations