Dialogue goes virtual due to Covid-19
The FCNB will accept commentary on the rules until Nov. 23
CSA issues guidance for fund managers on liquidity risk
Proposals would refine mandatory central clearing
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
The changes will take effect March 1, 2021
A supervisor in the firm's Calgary office has also been sanctioned
New guidance says compliance officers could serve at more than one firm