Dec 11, 2023 | News
The CSA and CIRO added to their warning about referencing or participating in awards based on sales, assets under management or revenue generation, during client-facing interactions. The CSA and CIRO updated their frequently asked questions document, which now lists...
Dec 7, 2023 | News
According to a follow-up report from the Office of the Auditor General of Ontario, (OAG) the Ontario Securities Commission (OSC) and the provincial government have taken action on most of the recommendations from a recent audit. Some key items, such as adopting...
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...
Translate »
