Regulation

15 offenders jailed in 2016: CSA

CSA’s enforcement report reveals greater jail time for offenders — but fewer overall proceedings and less in fines and penalties. In 2016, more than 23 years of jail time were handed down to 15 offenders for Securities Act violations. That compares to about 10 years of jail time handed down last year. Further, 13 people […]

By Staff |February 27, 2017

2 min read

Repeat offender arrested after JSOT Alberta investigation

A former mutual fund rep from Calgary has been charged with alleged breaches of the Criminal Code.

By Staff |February 21, 2017

2 min read

Working from home? IIROC’s watching

Reading this in your pyjamas? Your home might be considered a business location.

By Staff |February 15, 2017

2 min read

Only 43% of Canadian businesses can spot a cyberattack

Cybersecurity is increasingly on the radar of regulators worldwide. CSA’s recent staff notice on cybersecurity identifies potential common impacts of a cybersecurity incident to a variety of issuers on the S&P/TSX Composite Index, including compromised confidential customer information and reputational harm affecting investor confidence. Read: 61% of S&P/TSX firms call cybersecurity a material risk In […]

By Staff |February 15, 2017

2 min read