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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

File

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

Wolf In Sheeps Clothing seamless Background, wolf dressed in sheep fleece hiding out in the flock

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

GameStop

A CSA consultation has become more interesting after the GameStop saga

Portrait of young couple working with financial advisor while smiling and sitting on assistance workplace

Firms can expect additional guidance relating to KYC and suitability obligations

courtroom gavel

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

File

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