Regulatory

More flexible CCO arrangements from CSA

New guidance says compliance officers could serve at more than one firm

By James Langton |July 2, 2020

2 min read

B.C. woman sentenced for violating trading ban

The woman was permanently banned by the BCSC in 2017

By James Langton |June 30, 2020

1 min read

CSA releases progress report on regulatory priorities

Regulators are closer to banning trailer fees paid to discount brokers

By James Langton |June 30, 2020

3 min read

OSC head says SRO merger may not be best solution

The CSA will undertake its own in-depth analysis of SRO reform, says Grant Vingoe

By James Langton |June 23, 2020

2 min read