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Nov 5, 20181 min read

MFDA fines Investia $100,000

HollisWealth, acquired by Investia in 2017, implemented a remote branch supervision structure without first receiving MFDA approval A...

Nov 5, 20181 min read

IIROC secures greater enforcement authority in Canada’s territories

Nunavut, the Northwest Territories and Yukon join seven provinces in strengthening investor protection Nunavut, the Northwest Territories...

Nov 4, 20181 min read

CRA increases maximum pensionable earnings for the CPP

The increase of 2.7% to $57,400 from $55,900 was calculated according to a formula that takes into account the growth in average weekly...

Nov 4, 20183 min read

Failure to report Canadian privacy breaches could mean big fines after Nov. 1

A major motivation for businesses is the risk of being sued by those harmed by a privacy breach After more than three years of...

Oct 30, 20182 min read

Don’t miss OBSI’s guidelines on membership fees

The Ombudsman for Banking Services and Investments (OBSI) has announced that the payment deadline of membership fees for fiscal 2019 will...

Oct 2, 20182 min read

CSA’s new rules enhance custody requirements on EMDs

The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client...

Sep 21, 20182 min read

Proposed Amendments to BC Instrument 13-502 Electronic filing of reports of exempt distribution rela

The British Columbia Securities Commission (BCSC or we) is publishing for a 60-day comment period proposed amendments to British Columbia...

Sep 13, 20182 min read

Canadian Securities Regulators Propose Rules To Prohibit Certain Embedded Commissions

Toronto - The Canadian Securities Administrators (CSA) today published for comment a notice outlining proposed amendments that would...

Aug 27, 20185 min read

CSA anticipates its proposals will add costs for the industry and Remaking the industry

The Canadian Securities Administrators (CSA) has finally rendered verdicts on a pair of critical regulatory issues by deciding to scrap...

Aug 22, 20184 min read

32-302 Notice of Revocation for Certain Local Orders Providing Registration Exemption for Trades in

Introduction The securities regulatory authorities of British Columbia, Manitoba, Nunavut, the Northwest Territories, and Yukon (the...

Aug 1, 20182 min read

Canadian Securities Regulator provide Update On Trading Fee And Rebates Pilot Study

Toronto – The Canadian Securities Administrators (CSA) has awarded a research contract to develop a pilot study that will examine the...

Jul 19, 20181 min read

Canadian Securities Regulators Publish Final Amendments On Report Of Exempt Distribution

Toronto – The Canadian Securities Administrators (CSA) today published final amendments to National Instrument 45-106 Prospectus...