Regulatory

CSA issues notice on KYC & KYP

The Canadian Securities Administrators (CSA) today published CSA Staff Notice 31-336 Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations (Notice).

By Staff |January 9, 2014

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OSC unveils proxy voting roundtable agenda

The Ontario Securities Commission has released the final agenda, discussion topics and panelist list for its proxy voting roundtable.

By Staff |January 9, 2014

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JPMorgan Chase weathers storm of fines

The $20 billion in fines regulators levied against JPMorgan Chase in the past year may seem big, but the bank's even larger profits have taken their sting away, reports the New York Times.

By Staff |January 8, 2014

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New date for CSA systems transition

The Canadian Securities Administrators (CSA) announced in April 2013 the signing of a new service agreement with CGI Information Systems and Management Consultants Inc. Under the agreement, CGI will assume responsibility for the hosting, operation and maintenance of the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI) and the National Registration Database (NRD).

By Staff |January 3, 2014

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