The Canadian Securities Administrators has published for comment proposed amendments to National Instrument 45-106 Prospectus Exemptions
The OSC is calling for applications to join its Market Structure Advisory Committee. The committee is a forum for issues associated with market structure and marketplace operations and acts as a source of input to help facilitate OSC policy development and rule-making. Serving two-year terms, the 12 to 15 committee members meet at least four […]
IIAC announced its 2017-18 board of directors and the group’s first appointment of a female chair. Charyl Galpin, head of the private client division for BMO Nesbitt Burns, has been named chair. “I am honoured to be selected to lead the IIAC Board through this unprecedented structural change to strengthen investor protection and market efficiency, […]
An agreement has been struck between IIROC and the Life Insurance Council of Saskatchewan (LICS), and the goal is to prevent rule breakers from moving from the jurisdiction of one regulator to another without scrutiny
IIROC, the self-regulatory body for investment dealers, says it will be seeking feedback about its work from dealers in the coming year. In the group’s 2018 priorities report, released Thursday, IIROC says in the coming fiscal year it will be asking dealers to “tell us how we are doing, and where they feel we need […]
The real story behind the advisor-adviser debate
Organization calls for government action
Demonstrating increasing regulatory co-operation and information sharing, members of the Canadian Council of Insurance Regulators (CCIR) are asked to file annual statements of market conduct, detailing practices on such things as point-of-sale information, product advertising and staff training. Most did this year. Read: IIROC, Alberta Insurance Council to share info on rule-breakers The statements allow […]
The ASC makes appointment announcements
The Ontario Securities Commission (OSC) has released A Framework for Responsive Market Regulation, a paper presented at Oxford University that addresses how Canadian regulators are responding to changes in the market. Presented at a market structure conference at St. John’s College, Oxford University, on April 21, the paper sets out the OSC’s approach to regulatory […]