News and resources for Canada's top financial advisors
Est. 1998
Industry
CSA has announced a slew of rule amendments that will mean more paperwork for advisors.
By Allan Tong |April 10, 2015
5 min read
Market Insights
The financial services industry helps millions of investors. While there’s much to be proud of, structural problems persist. Here are three.
By Dean DiSpalatro |April 10, 2015
2 min read
The Canadian Securities Administrators (CSA) has implemented amendments that will streamline and tailor disclosure by venture issuers. The amendments address continuous disclosure and governance obligations, as well as disclosure for prospectus offerings.
By Staff |April 9, 2015
CSA is helping investors check advisors' registrations before working with them.
By Staff |March 2, 2015
1 min read
CSA today published for comment CSA Consultation Paper 92-401 Derivatives Trading Facilities. The paper proposes a framework for regulating facilities that bring together multiple buyers and multiple sellers of OTC derivatives. It also proposes that OTC derivatives that meet certain criteria may be required to trade exclusively on such regulated facilities.
By Staff |January 29, 2015
A recent article in Advisor’s Edge Report covered concerns IIAC managing director Barb Amsden recently raised in a letter to CSA regarding implementation of CRM2.
3 min read
Members of the Canadian Securities Administrators (CSA) have raised concerns with respect to the practice of routing retail equity orders to U.S. dealers.
By Staff |December 15, 2014
For the second-straight year, regulation sparked the top phrase.
By Staff |December 12, 2014
Now, you must deliver Fund Facts to investors before they buy mutual funds.
By Staff |December 11, 2014
The Canadian Securities Administrators (CSA) today released the Oversight Review Report that focuses on certain functional areas and key processes of the Investment Industry Regulatory Organization of Canada (IIROC).
By Staff |December 4, 2014
4 min read
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