Regulatory

Compliance roundup: December

Regulators dish on big topics at industry conference

By Staff |December 10, 2013

5 min read

CSA wants you to work harder

The Canadian Securities Administrators (CSA) are seeking public comment on proposals to amend the regulatory framework for firms and individuals who trade in securities, provide investment advice or manage investment funds.

By Staff |December 5, 2013

2 min read

Update on OSC exempt market review

New capital raising prospectus exemptions to come in 2014.

By Staff |December 4, 2013

2 min read

Do regulatory fines fit the crimes?

Banks charged with violations often face multimillion-dollar fines.

By Staff |December 3, 2013

1 min read