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Keyword: CSA

170 results found
Concept of important choices of a businessman, Business Challenge

CSA will continue to monitor the industry’s approach to OBSI’s recommendations on investor compensation

  • By: Staff
  • August 15, 2019 August 15, 2019
  • 14:04
Natural background of the sky and clouds

The notice comes as investors grow more concerned about how issuers are disclosing risks

  • By: Staff
  • August 1, 2019 August 1, 2019
  • 12:38
Shelf with file folders in a archives

SEDAR and the NRD would be replaced by a single system

  • By: Staff
  • July 29, 2019 July 29, 2019
  • 15:25
stack of documents or files, overload of paperwork on black background

Regulator to continue consultation on client-focused reforms, fee structures

Gavel

Regulators ordered $77.5 million in fines and penalties, $109.9 in restitution and disgorgement

  • By: Staff
  • June 26, 2019 June 26, 2019
  • 12:17
HALFPOINT / ISTOCKPHOTO WITH FILES FROM ANNA GRIGORJEVA / 123RF STOCK PHOTO; ICONS: 123RF STOCK PHOTO

IIROC publishes a survey, and CSA provides suggested practices

  • By: Staff
  • June 21, 2019 June 21, 2019
  • 12:58
stack of documents or files, overload of paperwork on black background

Retail reforms remain central to the regulator’s agenda

  • By: Staff
  • June 13, 2019 June 13, 2019
  • 11:58
Close up of human hands using virtual panel

Compliance reviews uncover deficiencies in data reporting

  • By: Staff
  • June 6, 2019 June 11, 2019
  • 14:30
stack of documents or files, overload of paperwork on black background

SEDAR, the National Registration Database and others would be replaced by a single system

Business young people in the job interview, signed an employment contract with boss in the office

Deal aims for cooperation between ‘regulatory sandbox’ initiatives

  • By: Staff
  • April 18, 2019 April 18, 2019
  • 14:58