CSA

Industry

CSA proposes new non-GAAP disclosure requirements

Under current guidance, investors receive "potentially misleading or confusing disclosure"

By Staff |September 6, 2018

1 min read

Industry

FAIR Canada favours banning embedded commissions to meet best interest standards

The Canadian Foundation for the Advancement of Investor Rights (FAIR Canada) is asking the CSA how firms will follow conflict of interest requirements and still meet best interest standards given compensation methods such as embedded commissions. In an open letter to the CSA, FAIR Canada says the best way to implement a best interest standard […]

By Staff |August 31, 2018

2 min read

Industry

Comply with OBSI, say regulators

CSA, IIROC and the MFDA have released a joint notice, Complying with requirements regarding the Ombudsman for Banking Services and Investments. The notice highlights concerns about some registered firms’ complaint handling systems and participation in OBSI’s services, and sets out potential regulatory responses. In the notice, the regulators say that, though OBSI’s compensation recommendations aren’t […]

By Staff |December 7, 2017

1 min read

Industry

What we learned from the 2017 CSA Investor Index

For starters, whether—and how—clients check your background

By Staff |December 4, 2017

2 min read

CSA to examine director and audit committee independence

CSA has launched a consultation on its approach to director and audit committee member independence. Consultation paper 52-404 Approach to director and audit committee member independence, published Thursday, outlines key historical developments related to CSA’s corporate governance regime, sets out its approach to determining director and audit committee member independence, and describes the approaches to […]

By Staff |October 26, 2017

1 min read

CSA

CSA proposes new non-GAAP disclosure requirements

FAIR Canada favours banning embedded commissions to meet best interest standards

Comply with OBSI, say regulators

What we learned from the 2017 CSA Investor Index

CSA to examine director and audit committee independence

CSA, TSX outline expectations for issuers with U.S. marijuana activities

SIPA to regulators: Fix advisor registration sites, titles

CSA bans binary options

CSA expects processes, documentation from IIROC

MFDA cracking down on supervision failure, falsifications: CSA review