The Autorité des marchés financiers (AMF) published the Statement of key planned initiatives for 2019-2020 to inform the industry...
CN Editor
June 28, 2019
CANADIAN SECURITIES REGULATORS EXTEND EXEMPTIONS TO FACILITATE OEO TRAILER BAN TRANSITION
REGULATORS PONDER NEW BENCHMARK
YVES OUELLET APPOINTED PRESIDENT AND CHIEF EXECUTIVE OFFICER OF THE AUTORITE DES MARCHES FINANCIERS
AMENDMENTS TO THE RULES OF THE CANADIAN DERIVATIVES CLEARING CORPORATION ON CYBERSECURITY
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
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