Compliance

OSC sets conditions on fund manager OSC sets conditions on fund manager

Industry

OSC sets conditions on fund manager

The regulator cited concerns about possible client over-concentration

By James Langton |August 11, 2020

1 min read

CSA finalizes changes to syndicated mortgage rules Fallback Image Decorative pattern

Industry

CSA finalizes changes to syndicated mortgage rules

The changes will take effect March 1, 2021

By James Langton |August 6, 2020

2 min read

Richardson GMP paying $500K over supervisory failures Richardson GMP paying $500K over supervisory failures

Industry

Richardson GMP paying $500K over supervisory failures

A supervisor in the firm's Calgary office has also been sanctioned

By James Langton |July 3, 2020

2 min read

More flexible CCO arrangements from CSA Fallback Image Decorative pattern

Industry

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