CSA

CSA inks deal to upgrade systems Fallback Image Decorative pattern

Industry

CSA inks deal to upgrade systems

The CSA has announced that it has entered into an agreement with CGI Information Systems and Management Consultants Inc. (CGI) to renew the CSA National Systems.

By Staff |June 1, 2016

1 min read

Don’t forget: Deliver fund facts before clients invest Fallback Image Decorative pattern

Industry

Don’t forget: Deliver fund facts before clients invest

Starting today, all dealers must deliver fund facts to clients before accepting instructions for the purchase of mutual funds.

By Staff |May 30, 2016

1 min read

CSA inches ahead with enhanced fixed-income regs Fallback Image Decorative pattern

Industry

CSA inches ahead with enhanced fixed-income regs

The CSA has published CSA Staff Notice 21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market, which provides an update on various elements of the CSA’s fixed income regulation plan.

By Staff |April 21, 2016

2 min read

CSA reports significant increase in fines for 2015 Fallback Image Decorative pattern

Industry

CSA reports significant increase in fines for 2015

01 CSA’s 2015 enforcement report CSA’s 2015 enforcement report, published in February, reveals actions resulting in more than $138 million in fines and administrative penalties—more than double the 2014 amount (about $58 million), and almost quadruple the 2013 amount (about $35 million). Illegal distributions continue to be the most common category (50% of concluded cases […]

April 8, 2016

6 min read