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Keyword: Compliance

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Proposal would harmonize standards throughout Quebec's financial sector

Stacking cubes

Annual report from OSC compliance branch signals exam targets for the year ahead


IIROC also is looking at retail complaints and disgorgement, among other SRO priorities

Bitcoin, Litecoin and Ethereum

FINTRAC's compliance exams won't start until April 2022

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Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements


A CSA consultation has become more interesting after the GameStop saga

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Firms can expect additional guidance relating to KYC and suitability obligations

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SRO adopts rule changes to enhance investor protection

Maze and businessmen, miniature,

The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization


FAIR Canada supports tougher investor protection measures, but questions other proposals