Information About Canadian Securities Regulatory Monitor
Below is a preview of the five most recent posts from the blog Canadian Securities Regulatory Monitor. To read these posts in their entirely or subscribe to future updates from this blog, please visit their website!
- Canadian Securities Administrators Provide Guidance on Platforms that Facilitate Crypto Asset Trading
- IIROC Sets Out 2020 Compliance Priorities for Dealers
- Ban Announced on Mutual Fund Deferred Sales Charges and Certain Trailing Commissions
- IIROC Urges Dealers to Conduct Immediate Self-Assessment of Retail Client Account Agreements for Inappropriate Limitation of Liability Clauses
- CSA Finalizes Client Focused Reforms
On October 3, 2019, the Canadian Securities Administrators (CSA) published its notice of amendments to National Instrument 31–103 Registration Requirements, Exemptions Read more »