The North American Securities Administrators Association (NASAA) is holding a day-long symposium on current developments related ...
CN Editor
September 25, 2019
NASAA ANNOUNCES 2027 SYSTEM FEES FOR INVESTMENT ADVISER REGISTRATION DEPOSITORY SYSTEM
GLOBAL STANDARD-SETTING BODIES PUBLISH A TOOLKIT FOR CYBER RESILIENCE AT FINANCIAL MARKET INFRASTRUCTURES (FMIS) AND A DISCUSSION PAPER ON FMIS" RELIANCE ON THIRD PARTY SERVICE PROVIDERS
CSA REPORT: DATA PORTABILITY HOLDS PROMISE FOR INVESTMENT MARKET, IF REGULATORS AND INDUSTRY ADDRESS CHALLENGES
NASAA APPROVES UPDATED WAITING PERIOD FOR SERIES 63, 65, AND 66 EXAM RETESTS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
ADVISOR SANCTIONED FOR TAKING CLIENT INFO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS
FATF/APG MUTUAL EVALUATION REPORT OF CANADA 2026