The CSA Staff Notice 45-325 clarifies when Form 45-106F1 Report of Exempt Distribution is required to be filed, and fees paid, fo...
CN Editor
February 07, 2019
SIMA ADVOCATES FOR FAIR FEES IN RESPONSE TO CIRO PROPOSAL
CSA ENCOURAGES OPEN DIALOGUE AMID TREND TOWARD HYBRID AND SELF-DIRECTED INVESTING
SIMA RESPONDS TO CSA CONSULTATION ON ETF REGULATION
PMAC CALLS ON CSA TO REVIEW PRIVACY AND DATA PROTECTION POLICIES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP