Home CSA

Keyword: CSA

189 results found
fintech icon on abstract financial technology background represent Blockchain and Fintech Investment Financial Internet Technology Concept

The regulator has clarified when crypto trading is subject to securities law

Startup business partners working together in desktop

Regulators aim to enhance disclosure for public companies without compromising investor protection

Title regulation started, a DSC ban stalled (and started again), and changes are coming at credentialing bodies

  • By: Staff
  • December 23, 2019 December 24, 2019
  • 12:00
advisor client meeting

The SRO says it’s working on aligning its rules with the CFRs

Young business woman suffering stress working at office computer

IFIC says it would have preferred a nationally harmonized approach

loudspeaker

Ontario is considering alternatives to a DSC ban, but will join the CSA in outlawing trailers for discount brokers

loudspeaker

Talk of merging the SROs has surfaced repeatedly over the years

stack of documents or files, overload of paperwork on black background

In a submission, the industry group said investor disclosure documents have made the existing regime redundant

The regulator is also considering the CSA’s proposal to ban trailers paid to discount brokers

a farmer puts his marijuana plant into soil, related to pot index

The regulator says investors need to understand potential conflicts of interest