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Keyword: CSA

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

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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

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IFIC says it would have preferred a nationally harmonized approach


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


Talk of merging the SROs has surfaced repeatedly over the years

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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

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The regulator says investors need to understand potential conflicts of interest