Compliance

CSA proposes broad changes to investment fund regulation Fallback Image Decorative pattern

Industry

CSA proposes broad changes to investment fund regulation

The proposals affect disclosure requirements and facilitate online compliance

By James Langton |September 12, 2019

2 min read

OSC eases rules for submitting fee forms Fallback Image Decorative pattern

Industry

OSC eases rules for submitting fee forms

The new procedure will be in effect Dec. 1 if it receives ministerial approval

By Staff |September 12, 2019

1 min read

OSC puts large derivatives dealers on notice Fallback Image Decorative pattern

Industry

OSC puts large derivatives dealers on notice

Regulator wants firms to assess their FX oversight following settlements with TD and RBC

By James Langton |August 30, 2019

2 min read

OSC alleges currency traders at RBC, TD shared confidential client info Fallback Image Decorative pattern

Industry

OSC alleges currency traders at RBC, TD shared confidential client info

The traders disclosed detailed information about customer orders in online chatrooms, the regulator says

By James Langton |August 27, 2019

2 min read