OSC Chair Howard Wetston has named three new Commissioners.
Unlike Canada, the U.S. imposes an estate tax on worldwide estates worth more than $5.34 million (2014).
The RCMP has charged five former executives of Seaquest Corporation.
CSA today published for comment CSA Consultation Paper 92-401 Derivatives Trading Facilities. The paper proposes a framework for regulating facilities that bring together multiple buyers and multiple sellers of OTC derivatives. It also proposes that OTC derivatives that meet certain criteria may be required to trade exclusively on such regulated facilities.
A recent article in Advisor’s Edge Report covered concerns IIAC managing director Barb Amsden recently raised in a letter to CSA regarding implementation of CRM2.
It's tough to keep up with industry change, but firms must still prioritize compliance.
IIROC gets approval to apply final CRM reforms, but awaiting implementation deferral decision.
IIROC's issued final sanction guidelines for regulatory hearing panels.
The OSC has made the members of its Registrant Advisory Committee public.
In late December, the U.S. SEC approved a FINRA background check proposal related to new and newly hired registrants.