CSA

Decorative pattern

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

By Staff |September 7, 2023

2 min read

Decorative pattern

Regulators extend exemptions for discount brokers to comply with trailer ban

The exemptions were previously slated to end on Nov. 30

By Michelle Schriver |August 31, 2023

2 min read

Decorative pattern

Advisors chew over regulators’ warning on industry awards

Even award-winning advisors see merit in the crackdown on pay-to-play and sales-based accolades

By Melissa Shin |August 21, 2023

5 min read

Decorative pattern

Regulators heed plea to push back trade-matching deadline

CSA ruling helps T+1 push, industry says

By Staff |August 11, 2023

2 min read

CSA to examine ETF sector

CSA to examine ETF sector

The review will determine whether reforms are needed in the fast-growing market

By James Langton |August 10, 2023

1 min read

Decorative pattern

So far so good for crypto funds, but CSA flags risks

Regulators issue guidance on valuation, liquidity and custody issues for crypto funds

By James Langton |July 6, 2023

3 min read

Decorative pattern

CSA extends comment period for diversity proposals

Regulators proposed two options for improving the information shareholders receive about board and executive diversity

By Staff |June 28, 2023

2 min read

Mutual fund chargebacks to face CSA scrutiny

Mutual fund chargebacks to face CSA scrutiny

Conflict of interest concerns spark regulators' review

By James Langton |June 1, 2023

2 min read

Regulators warn investors of advisor impersonators

Regulators warn investors of advisor impersonators

Fraudsters are posing as registered individuals

By Staff |May 25, 2023

1 min read

Decorative pattern

CSA and CCIR finalize rules for total cost reporting

The industry has until 2026 to adopt the requirements

By James Langton |April 20, 2023

3 min read

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