In their submissions, several investors condemn regulators for continuing to allow DSCs. They also express exasperation that the ...
CN Editor
January 11, 2019
CANADIAN SECURITIES REGULATORS ADOPT BUSINESS CONDUCT RULE FOR DERIVATIVES DEALERS AND ADVISERS
CANADIAN SECURITIES REGULATORS PROPOSE INTRODUCTION OF EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
CSA STAFF NOTICE 11-346 - WITHDRAWAL OF STAFF NOTICES
CSA APPOINTS NEW INVESTOR ADVISORY PANEL CHAIR AND SEEKS APPLICATIONS FOR NEW MEMBERS TO THE PANEL
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BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS