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Keyword: Compliance

383 results found

Dialogue goes virtual due to Covid-19

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The FCNB will accept commentary on the rules until Nov. 23

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CSA issues guidance for fund managers on liquidity risk

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Proposals would refine mandatory central clearing

Business and financial district in a city with pillars

The former CI president supports a proposal to open up bank shelves to independent products

An Alberta firm refused to compensate a harmed investor

The regulator cited concerns about possible client over-concentration

House bubble

The changes will take effect March 1, 2021

Individuality

A supervisor in the firm's Calgary office has also been sanctioned

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New guidance says compliance officers could serve at more than one firm