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
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