Between 2016 and 2019, CSA will measure the impact of both CRM2 requirements and Point of Sale amendments.
An IIROC hearing panel has found that Christian Cloutier failed to take into consideration the recommended holding period and the risk level associated with the use of leveraged ETFs.
The OSC has approved a no-contest settlement with Scotia Capital, Scotia Securities and HollisWealth Advisory Services.
What the industry is grappling with
Want to comment on CSA's best interest standard proposals? The deadline has been extended.
The regulator reiterated issues that may seem like common sense, but apparently aren't.
In its comment letter, IFIC outlines its key concerns about the government's draft Capital Markets Stability Act.
Enacting the proposed Capital Markets Stability Act (the CMSA) is part of the federal government’s push to to establish a national regulatory authority.
What can be done to bring it back?
Case outlines the repercussions of not doing so