Regulation – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Thu, 12 Oct 2023 14:05:01 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png Regulation – Advisor's Edge https://phoenix.advisor.ca 32 32 U.S. investors can stay in Canadian Cronos Group class action https://phoenix.advisor.ca/news/industry-news/u-s-investors-can-stay-in-canadian-cronos-group-class-action/ Thu, 12 Oct 2023 14:05:01 +0000 https://www.advisor.ca/?p=231671 Ontario court allows U.S. shareholders to pursue both cases

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]]> Report warns of crypto sector’s inherent investor protection threats https://phoenix.advisor.ca/news/regulation/report-warns-of-crypto-sectors-inherent-investor-protection-threats/ Wed, 11 Oct 2023 19:21:41 +0000 https://www.advisor.ca/?p=231641 ESMA says novel abuses need to be addressed for DeFi sector to grow

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]]> CIRO to step up fund dealer oversight in Quebec https://phoenix.advisor.ca/news/regulation/ciro-to-step-up-fund-dealer-oversight-in-quebec/ Fri, 06 Oct 2023 17:44:58 +0000 https://www.advisor.ca/?p=231564 AMF, provincial government approve delegation of powers to SRO

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]]> Review of multi-level-marketing MGAs results in enforcement for 65 life agents https://phoenix.advisor.ca/insurance/life/review-of-multi-level-marketing-mgas-results-in-enforcement-for-65-life-agents/ Tue, 03 Oct 2023 19:51:55 +0000 https://www.advisor.ca/?p=231454 The clampdown includes the sale of unsuitable universal life policies

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]]> CSA to combine disclosure, delivery reforms https://phoenix.advisor.ca/news/industry-news/csa-to-combine-disclosure-delivery-reforms/ Tue, 03 Oct 2023 17:33:36 +0000 https://www.advisor.ca/?p=231444 Regulators to marry changes to disclosure rules with electronic access

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]]> Ponzi perpetrators get permanent trading ban https://phoenix.advisor.ca/news/industry-news/ponzi-perpetrators-get-permanent-trading-ban/ Mon, 02 Oct 2023 20:48:58 +0000 https://www.advisor.ca/?p=231397 Convicted fraudsters banned by Ontario tribunal

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]]> Sustainable finance disclosure still falling short https://phoenix.advisor.ca/news/regulation/sustainable-finance-disclosure-still-falling-short/ Fri, 29 Sep 2023 18:00:47 +0000 https://www.advisor.ca/?p=231336 Firms not disclosing investments' negative ESG impact, Paris alignment

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]]> Global trade group proposes crypto regulation principles https://phoenix.advisor.ca/news/regulation/global-trade-group-proposes-crypto-regulation-principles/ Thu, 28 Sep 2023 20:59:02 +0000 https://www.advisor.ca/?p=231277 World Federation of Exchanges calls for crypto trading to face similar standards as traditional markets

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]]> CSA finalizes derivatives conduct rules https://phoenix.advisor.ca/news/industry-news/csa-finalizes-derivatives-conduct-rules/ Thu, 28 Sep 2023 17:56:14 +0000 https://www.advisor.ca/?p=231246 Canada remained the last G20 country without conduct standards for OTC derivatives markets

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]]> With costs projected to increase 9% in fiscal 2024, CIRO’s fees are also heading higher https://phoenix.advisor.ca/news/industry-news/with-costs-projected-to-increase-9-in-fiscal-2024-ciros-fees-are-also-heading-higher/ Tue, 26 Sep 2023 18:14:27 +0000 https://www.advisor.ca/?p=231157 Fees for investment dealers to rise 6.4%, annual report says

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