Compliance

IIROC to issue guidance on CFRs, plain-language rulebook Fallback Image Decorative pattern

Industry

IIROC to issue guidance on CFRs, plain-language rulebook

Firms can expect additional guidance relating to KYC and suitability obligations

By James Langton |March 22, 2021

2 min read

FINRA tackles the problem of repeat offenders Fallback Image Decorative pattern

Industry

FINRA tackles the problem of repeat offenders

SRO adopts rule changes to enhance investor protection

By James Langton |March 12, 2021

1 min read

CSA urges Ontario to prioritize harmonization, join passport system Fallback Image Decorative pattern

Industry

CSA urges Ontario to prioritize harmonization, join passport system

The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization

By James Langton |February 12, 2021

2 min read

Investor advocates give Ontario task force report mixed reviews Fallback Image Decorative pattern

Industry

Investor advocates give Ontario task force report mixed reviews

FAIR Canada supports tougher investor protection measures, but questions other proposals

By James Langton |February 5, 2021

3 min read