CSA

Industry

Battle over CSA reforms reveals industry cracks

The CSA is caught in a struggle, so what is the right way forward? Experts weigh in.

By Katie Keir |May 18, 2017

6 min read

Industry

DSC alternative has limited merits

Remove one conflict, create another?

By Melissa Shin |May 12, 2017

3 min read

Industry

Only 2 provinces ‘committed’ to BIS, but work continues: CSA

Industry stakeholders and non-industry commenters at odds over CSA reforms.

By Katie Keir |May 11, 2017

4 min read

Industry

Ban on embedded commissions ideal but not imminent: OSC director

Informed investors will keep the industry on its feet

May 5, 2017

3 min read

Industry

CSA outlines steps for T+2 transition

Plus, amendments to NI 81-102 shorten the settlement cycle for mutual funds to T+2.

By Staff |April 28, 2017

2 min read

Industry

CSA shines spotlight on audits by foreign firms

Potential amendments would address challenges, including accessibility of audit working papers.

By Staff |April 26, 2017

1 min read

Industry

CSA proposes ban on sale of binary options

The wagers put investors at risk of losing the entire investment.

By Staff |April 26, 2017

2 min read

Industry

CSA commenced almost half as many proceedings in 2016

Last year, CSA enforcement resulted in more than $62 million in fines, administrative penalties and voluntary payments. However, it’s difficult to compare that to 2015’s amount of $138 million, because that year saw a few cases with large fines. The 2016 amount better compares to that for 2014: $58 million. Included in the $62 million […]

By Michelle Schriver |April 21, 2017

4 min read

Industry

CSA publishes summary of cybersecurity roundtable

The Canadian Securities Administrators (CSA) has published a staff notice on its cybersecurity roundtable, which provides an overview of the themes discussed and some of the key takeaways. CSA hosted the roundtable on February 27, 2017, to explore cybersecurity issues and opportunities for greater collaboration, communication and coordination in the event of a large-scale cybersecurity […]

By Staff |April 10, 2017

2 min read

Industry

Regulators focus on cybersecurity

01 CSA staff notice 51-347: Disclosure of cybersecurity risks and incidents As business dependence on technology rises, so does business risk. A 2016 Ponemon Institute study found the average cost of a data breach is US$4 million. Businesses “are being encouraged, guided and compelled, in some instances, to try to manage those risks in meaningful […]

By Michelle Schriver |March 24, 2017

4 min read

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