CSA

How investors check your registration history Fallback Image Decorative pattern

Industry

How investors check your registration history

CSA is helping investors check advisors' registrations before working with them.

By Staff |March 2, 2015

1 min read

CSA requests comments on OTC derivatives proposal Fallback Image Decorative pattern

Industry

CSA requests comments on OTC derivatives proposal

CSA today published for comment CSA Consultation Paper 92-401 Derivatives Trading Facilities. The paper proposes a framework for regulating facilities that bring together multiple buyers and multiple sellers of OTC derivatives. It also proposes that OTC derivatives that meet certain criteria may be required to trade exclusively on such regulated facilities.

By Staff |January 29, 2015

1 min read

CSA holds firm on key CRM2 deadline, IIAC responds Fallback Image Decorative pattern

Industry

CSA holds firm on key CRM2 deadline, IIAC responds

A recent article in Advisor’s Edge Report covered concerns IIAC managing director Barb Amsden recently raised in a letter to CSA regarding implementation of CRM2.

By Staff |January 29, 2015

3 min read

CSA “concerned” about dealers routing equity orders to U.S. Fallback Image Decorative pattern

Industry

CSA “concerned” about dealers routing equity orders to U.S.

Members of the Canadian Securities Administrators (CSA) have raised concerns with respect to the practice of routing retail equity orders to U.S. dealers.

By Staff |December 15, 2014

2 min read