CSA

Decorative pattern

BCSC seeks comments on misleading business titles

The British Columbia Securities Commission (BCSC) has published for comment proposed amendments to MFDA rule 1.2.5 (misleading business titles prohibited). In an effort to prevent investor confusion, the proposed amendments establish minimum proficiency requirements for approved persons using the title “financial planner.” The proposal would restrict the use of “financial planner” to those who receive […]

By Staff |October 31, 2016

2 min read

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Proxy voting protocols generate comments for automation

01 Proxy voting commentary Comments were received over the summer on CSA Multilateral Staff Notice 54-304, the final report on the review of proxy voting and request for comments. The notice proposes protocols for counting shareholder proxy votes. Proxy voting is “an important and fundamental right,” says Gordon Raman, a partner at Borden Ladner Gervais […]

October 28, 2016

4 min read

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Why regulators should provide cost-benefit analyses–and why they don’t

When regulators propose major industry changes, those can come with high price tags. But often, says the IIAC's Ian Russell, they only provide cursory analysis.

By Staff |October 21, 2016

2 min read

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No negatives to a best interest standard, say CFAs

A best interest standard would provide a consistent and overarching standard.

By Staff |October 11, 2016

2 min read

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Will CSA’s targeted reforms hurt clients?

CSA needs to clarify the benefits and costs of its proposed targeted reforms and best interest standard.

By Katie Keir |October 3, 2016

4 min read

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Best interest standard could be fiduciary duty in disguise: expert

Your client refuses to disclose required financial information, preventing you from performing your KYC obligation. What do you do?

October 3, 2016

3 min read

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CSA pushes for online security improvements

Cyber attacks have become more frequent, complex and costly for organizations.

By Staff |September 28, 2016

2 min read

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PMAC to CSA: Focus on fiduciary duty, not best interest standard

PMAC predicts a regulatory best interest standard wouldn’t be adopted Canada-wide.

By Staff |September 27, 2016

3 min read

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Rules could make alternatives as easy to buy as mutual funds

The proposed amendments are primarily aimed at developing a more comprehensive regulatory framework for publicly offered alternative funds

By Staff |September 22, 2016

2 min read

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IIROC wants ‘strong, principled’ position on best interest

The "most important part" of the the CSA's best interest regulatory reforms is how advisors deal with conflicts of interest, says Andrew Kriegler.

By Staff |September 13, 2016

2 min read

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