Dec 5, 2023 | News
The Investment Funds Institute of Canada’s (IFIC) recent annual leadership conference in Toronto, hosted an international regulations panel featuring industry leaders from Canada, the UK and the US. The panel discussed the similar challenges and regulatory...
Dec 1, 2023 | News
The Canadian Securities Administrators (CSA) has sent out a notice to seek general feedback on a proposed regulatory framework set out for an independent dispute resolution, bringing forward a binding regime for investment-related disputes. The period provided for...
Nov 29, 2023 | News
The government in Saskatchewan introduced a bill that aims to boost investor protection, by sharply increasing the maximum penalty for securities violations from $100,000 to $1 million. The proposed legislation aims to enhance regulatory enforcement powers and enable...
Nov 28, 2023 | News
In a notice to the industry, the OSC said its latest reviews of fund managers’ sales materials have found instances of firms hyping up performance numbers and prominently highlighting this data over the fund’s other aspects. As a result, the regulator has been asking...
Nov 28, 2023 | News
New Brunswick’s Unclaimed Property Act, which came into force on January 1, 2022, requires holders of unclaimed property to report abandoned or forgotten property, annually. Holders of unclaimed property (including businesses, associations and government...
Nov 23, 2023 | News
CIRO, in cooperation with the Chambre de la sécurité financière (CSF), has announced that they have agreed to an exchange of information for participants who are subject to both CIRO’s Mutual Fund Dealer (MFD) CE Program and CSF’s CE Program requirements. The...
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