One advisor sounds off
Investor advocacy groups Fair Canada and CARP detail why they're opposed.
Regulator zeroes in on financial services, not reporting issuers
Regulators consider cutting back what companies disclose
The CSA is caught in a struggle, so what is the right way forward? Experts weigh in.
IIROC has launched a consultation on using client identifiers, bringing Canada’s rules in line with requirements in the United States and the EU. The goal, according to the self-regulatory group for investment dealers, is to enhance market integrity, protect investors and address electronic trading risks “while minimizing impact on the investment industry.” The consultation will […]
Focus is put on investors ahead of potential regulation
But fragmented regulation is a challenge
The overall sweep revealed deficiencies in all areas tested
The Alberta government has introduced legislation to beef up IIROC and MFDA enforcement, putting the self-regulatory groups on the same footing as the Alberta Securities Commission. Bill 13, introduced on Monday, would amend the provincial Securities Act so that IIROC and the MFDA would have the power to compel evidence during investigations and attendance at […]