Regulatory

CSA eyes amendments to exemption rules

The Canadian Securities Administrators (CSA) today published for comment proposed amendments relating to the short-term debt prospectus exemption in National Instrument 45-106Prospectus and Registration Exemptions.

By Staff |January 23, 2014

2 min read

Future audits may be tougher, says report

The audit process must change, says report.

By Staff |January 20, 2014

2 min read

Pros and cons of no-contest settlements

When regulators charge small firms with violations, those firms often don’t have the time or money to launch legal battles. Instead, they often have to admit guilt.

January 17, 2014

3 min read

CSA to bolster OTC derivatives clearing

The Canadian Securities Administrators has published for comment a new rule that aims to clarify the responsibilities of third-party OTC derivatives clearing agencies.

By Staff |January 16, 2014

1 min read