With the recent publishing of new Client-Focused Reform regulation, advisors and dealers are challenged with a new compliance obligation. Our IE article this month provides some background on the reg […]
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This recent G+M article provides a good summary of the Regulatory Burden Reduction initiative that the OSC and other CSA partners have initiated. As the article states “burden reduction and […]
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‘If you invest in an exchange-traded fund, you should have a better idea of exactly what it is by early December. The Canadian Securities Administrators has set December 10th as […]
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While the name is new, the marriage of technology and regulation to address regulatory challenges has existed for some time. Increasing levels of regulation and a greater focus on data […]
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The emergence of FinTech as a disruptor to traditional financial services models dominates the conversation and yet a recent McKinsey report provides a different spin on this trend. As stated […]
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We are less than 3 weeks away from the May 30th deadline, where dealers must have a process to deliver Fund Facts prior to accepting trade instructions from investors and […]
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The Ontario government quietly amended the Ontario Securities Act a few weeks ago, paving the way for even greater disclosure and compliance measures by dealers and their advisors. In fact, […]
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The Canadian investment community awaits the CSA’s final Stage 3 rules for National Instrument 81-101 which are due to be published in the next 4 weeks. This will establish the […]
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I recently attended a conference entitled “Does Disclosure Work?” hosted by the Capital Markets Institute and the Canadian Foundation for Advancement of Investor Rights (a.k.a. FAIR Canada) at the University […]
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After nearly fifty years of discussion and a two year lull in the conversation, the federal government along with British Columbia, Ontario, Saskatchewan and New Brunswick announced their agreement to […]
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