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Keyword: Regulatory

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The long-awaited rules could be coming soon, according to the director of the OSC's derivatives branch

The New Brunswick Legislative Building in Fredericton

The province has proposed changes to its securities legislation

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

Abstract,Golden Bitcoin money on computer.

The securities commission says it will continue its investigation

gavel on a wooden bench

Retail investors were allegedly charged for active management they did not receive

A new report outlines 107 recommendations aimed at reducing the regulatory burden

Wooden gavel used by a judge or auctioneer

Firm had been suspended since Dec. 2015

  • By: Staff
  • November 15, 2019 November 15, 2019
  • 12:06
stack of documents or files, overload of paperwork on black background

The Securities Proceedings Advisory Committee provides advice on policy and procedural initiatives

  • By: Staff
  • November 15, 2019 November 15, 2019
  • 10:54

An individual and a firm must pay almost $2.75M

Conceptual image of micro circuit Security concept

Firms must report breaches within three days