Firms can expect additional guidance relating to KYC and suitability obligations
SRO adopts rule changes to enhance investor protection
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
Dealing with a request outside your joint engagement
Committee provides feedback on compliance and policy issues
Issues related to the SolarWinds cybersecurity incident should be reported
Regulator seeks to raise standards for mortgage brokers
CSA and FSB have each offered advice to firms
IIROC urges investment dealers to start prepping for rule changes now