7,828 results found

The long-awaited "Stage 2" package of reforms that apply to mutual fund "point of sale" disclosure has now been finalized by the Canadian Securities Administrators and the rule amendments are expected to come into effect on September 1, 2013.

Effective January 1, 2023, the New Self-Regulatory Organization of Canada (New SRO) – the amalgamated self-regulatory body formed from the Mutual Fund Dealers Association of Canada (MFDA)...

The Systemic Risk Committee (SRC) of the Canadian Securities Administrators (CSA) allows staff to review and monitor systemic and emerging risks in the Canadian capital markets.

For a second time, CIRO recently released for comment its proposal regarding Distributing Funds Disgorged and Collected through CIRO Disciplinary Proceedings to Harmed Investors (Phase II) (Proposal).

On February 12, the Canadian Investment Regulatory Organization (CIRO) proposed to end the dual registration model, enabling investment dealers to operate a mutual fund division without separate...

An Edmonton-area man is facing dozens of criminal charges in connection with a supposed mortgage investment operation.

The MFDA approved a settlement agreement in circumstances where the Respondent processed trades based on requests from someone other than the client.

The transaction is expected to close in the fourth quarter of 2021, subject to the receipt of regulatory approval and other customary closing conditions.

Yesterday, the Investment Industry Regulatory Organization of Canada released a notice providing guidance to Dealer Members on the ever-growing concerns surrounding aging investors.

In our February bulletin, we wrote about the importance of updating your SEDAR+ profile if the information contained in the profile is inaccurate.

For those looking for some summer reading and who did not get the chance to do so when it was released, check out the report issued by the ICC International Court of Arbitration, Task Force on...

The Manitoba government has joined Québec, Ontario, Saskatchewan and New Brunswick in considering or implementing legislation respecting the use of the titles "financial planner" and "financial advisor".

Since 2009, we have prepared an Investment Management Bulletin that sets out the main features of National Instrument 31-103 in a style that allows for quick comprehension and understanding.

In a recent decision enforcing a bank loan and guarantee, the court provided a reminder that conversations with clients of financial institutions should be recorded in a manner that is clear...

The amendments will also eliminate certain activity and late fees, and permanently eliminate late fees on certain registration form updates, including outside activities.

Late in November, the Ontario Securities Commission (OSC) released OSC Staff Notice 81-740 Update on Long-Term Asset Fund Project which discussed key themes and questions from industry stakeholders...

On December 3, 2020, PayBright Inc., one of Canada's leading buy-now-pay-later providers, announced that it has entered into a definitive agreement to be acquired by Affirm