Principal distributors are expressly permitted to engage with multiple fund families as “participating dealers” and, as contempla...
CN Editor
May 05, 2025
SIMA RESPONDS TO CSA CONSULTATION ON ETF REGULATION
PMAC CALLS ON CSA TO REVIEW PRIVACY AND DATA PROTECTION POLICIES
PATCHING TOGETHER CANADA"S FRAGMENTED SECURITIES REGULATORY SYSTEM
CANADIAN SECURITIES REGULATORS PROPOSE SEMI-ANNUAL FINANCIAL REPORTING PILOT
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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