The CSA issued a staff notice that provides guidance to firms that are directly regulated by the provincial authorities (such as ...
CN Editor
August 23, 2019
CLOSET INDEXING CLASS ACTION TO FOCUS ON DISCLOSURE
CSA ENCOURAGES OPEN DIALOGUE AMID TREND TOWARD HYBRID AND SELF-DIRECTED INVESTING
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
SECURITIES TRADING ON MARKETPLACES IN U.S. AND CANADIAN CURRENCIES
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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