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
Proposed exemption would allow non-accredited investors to self-certify their sophistication
Protecting material non-public information is paramount when staff work remotely
Beginning next year, the CFRs will require you to demonstrate that you’ve considered a “reasonable range of alternatives”
Regulators seek whistleblower tips on short selling ahead of new offerings
Dialogue goes virtual due to Covid-19