Compliance

Industry

Effects of the SolarWinds cyber breach are far-reaching: regulators

Issues related to the SolarWinds cybersecurity incident should be reported

By James Langton |January 7, 2021

1 min read

Industry

FSRA proposes guidance for mortgage brokers to comply with national code

Regulator seeks to raise standards for mortgage brokers

By James Langton |November 27, 2020

1 min read

Industry

Time to prep for financial benchmark reform, regulators say

CSA and FSB have each offered advice to firms

By James Langton |November 26, 2020

2 min read

Industry

Clock is ticking on new client identifier requirements

IIROC urges investment dealers to start prepping for rule changes now

By James Langton |November 25, 2020

1 min read

Industry

Are you smarter than a day trader?

Proposed exemption would allow non-accredited investors to self-certify their sophistication

By James Langton |November 20, 2020

2 min read

Industry

More controls needed to prevent insider trading, tipping, says IIROC

Protecting material non-public information is paramount when staff work remotely

By James Langton |November 19, 2020

2 min read

Industry

Choosing funds for clients? Get ready to show your work

Beginning next year, the CFRs will require you to demonstrate that you’ve considered a “reasonable range of alternatives”

By Greg Dalgetty |October 9, 2020

3 min read

Industry

OSC, IIROC call for tips on abusive shorts

Regulators seek whistleblower tips on short selling ahead of new offerings

By James Langton |October 1, 2020

1 min read

Industry

OSC conference features five former chairs

Dialogue goes virtual due to Covid-19

By James Langton |September 24, 2020

2 min read

Industry

New Brunswick watchdog proposes rules for lost financial property

The FCNB will accept commentary on the rules until Nov. 23

By James Langton |September 23, 2020

1 min read

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