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IOSCO PUBLISHES FINAL REPORT ON REGULATORY IMPLICATIONS AND GOOD PRACTICES ON THE EVOLUTION OF MARKET STRUCTURES

IOSCO has published its Final Report on the Evolution in the Operation, Governance, and Business Models of Exchanges. The Final Report addresses significant changes in exchange business models and ma...

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CIRO
CIRO SANCTIONS FORMER INVESTORS GROUP REP FROM WINNIPEG, MANITOBA
November 29, 2024

CIRO sanctioned Andrew Kazina (Kazina) a former dealing representative with Investors Group Financial Services Inc from Winnipeg,...

CSA
CANADIAN SECURITIES REGULATORS REDUCE REGULATORY BURDEN FOR INVESTMENT FUNDS IN CONTINUOUS DISTRIBUTION
November 29, 2024

The Canadian Securities Administrators (CSA) announced final rules modernizing the prospectus filing model for investment funds t...

CSA
CANADIAN SECURITIES REGULATORS PROPOSE AMENDMENTS TO THE PRINCIPAL DISTRIBUTOR MODEL
November 29, 2024

The Canadian Securities Administrators (CSA) has published for comment proposed amendments to the principal distributor model in ...

CSA
CANADIAN SECURITIES REGULATORS TO PROVIDE TEMPORARY RELIEF FROM REQUIREMENTS FOR DELIVERING PROXY-RELATED MATERIAL
November 29, 2024

In response to the full disruption of postal service in Canada, the Canadian Securities Administrators (CSA) will be providing te...

Fintrac
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON SIMPLE CANADIAN SERVICES
November 29, 2024

FINTRAC announced that it has imposed an administrative monetary penalty on 1121920 B.C. Ltd, also operating as Simple Canadian S...

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