Principal distributors are expressly permitted to engage with multiple fund families as “participating dealers” and, as contempla...
CN Editor
May 05, 2025
CSA STAFF NOTICE 11-312 (REVISED) NATIONAL NUMBERING SYSTEM
CSA LAUNCHES CONSULTATION ON PROPOSED AMENDMENTS TO NON-GAAP AND OTHER FINANCIAL MEASURES DISCLOSURE REQUIREMENTS IN CONNECTION WITH NEW IFRS ACCOUNTING STANDARD
ADVISOR CHARGEBACKS ARE BAD FOR THE INDUSTRY
AFTER YEARS OF GROWTH, ETFS MAY FINALLY GET THEIR OWN 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