A new paper envisions a single SRO, with the CSA taking responsibility for market regulation
The industry group is calling on regulators to develop a proficiency regime for fund reps
Pilot study would examine the effects of banning trading fee rebates
Ontario is concerned that DSC ban would hurt smaller investors
With the concept of a national regulator in limbo, the CSA plans to review the self-regulatory structure
Regulators set out when trading platforms are subject to securities law
ShelfMonitor scans for changes to investment products
New paper argues benefits of “access equals delivery” model for online disclosure
Investor protection and industry innovation highlight the SRO's compliance priorities
Industry trade group prefers harmonized national solution