Regulatory

Fines, admin penalties from CSA top $138M in 2015

CSA concluded 145 cases against 233 individuals and 117 companies.

By Staff |February 23, 2016

1 min read

Regulators amending derivatives trade reporting rules

Several securities regulators across Canada have published for comment proposed amendments to both Multilateral Instrument 96-101 (Trade Repositories and Derivatives Data Reporting) and its companion policy (MI 96-101).

By Staff |February 16, 2016

1 min read

Can you advise the OSC?

The OSC is inviting new applications for membership on its Continuous Disclosure Advisory Committee (CDAC).

By Staff |February 10, 2016

1 min read

Industrial Alliance Securities agrees to $75,000 IIROC settlement

On October 29, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Industrial Alliance Securities Inc. (IAS inc.). Read: Three compliance commandments to obey IAS Inc. admitted that it failed to take reasonable measures to ensure that two of its representatives, […]

By Staff |February 9, 2016

2 min read