The Mutual Fund Dealers Association of Canada (MFDA) is proposing a reform that would allow fund dealers to engage in a limited f...
CN Editor
August 26, 2019
CSA ADOPTS EXPEDITED SHELF PROSPECTUS REGIME FOR WELL-KNOWN SEASONED ISSUERS
DISGORGEMENT - PROPOSED AMENDMENTS TO THE MUTUAL FUND DEALER RULES
NASAA SEEKS PUBLIC COMMENT ON PROPOSED NASAA MODEL FRANCHISE BROKER REGISTRATION ACT
NASAA SEEKS PUBLIC COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT ADVISER ADVERTISING RULES
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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