Canadian Securities Administrators – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 18 Dec 2024 18:40:02 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Canadian Securities Administrators – Investment Executive https://www.investmentexecutive.com 32 32 Climate disclosure remains a work in progress https://www.investmentexecutive.com/news/from-the-regulators/climate-disclosure-remains-a-work-in-progress/ Wed, 18 Dec 2024 18:32:05 +0000 https://www.investmentexecutive.com/?p=498839 CSSB issues final standards, CSA still working on rule that would mandate disclosure

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]]> CIRO to match SEC on trading increments https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-match-sec-on-trading-increments/ Thu, 12 Dec 2024 19:28:10 +0000 https://www.investmentexecutive.com/?p=498461 Proposed reforms would harmonize requirements for inter-listed securities

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]]> Ontario court approves trailer fee class action deal https://www.investmentexecutive.com/news/from-the-regulators/ontario-court-approves-trailer-fee-class-action-deal/ Wed, 11 Dec 2024 18:58:21 +0000 https://www.investmentexecutive.com/?p=498371 TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

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]]> Regulators rule out discretionary AI trading, for now https://www.investmentexecutive.com/news/from-the-regulators/regulators-rule-out-discretionary-ai-trading-for-now/ Thu, 05 Dec 2024 21:47:19 +0000 https://www.investmentexecutive.com/?p=498037 CSA issues new guidance, consults on possible future reforms to address AI advances

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]]> First stablecoin to meet CSA’s standards https://www.investmentexecutive.com/news/from-the-regulators/first-stablecoin-to-meet-csas-standards/ Wed, 04 Dec 2024 22:04:34 +0000 https://www.investmentexecutive.com/?p=497954 Other issuers have until Dec. 31 to comply with the regulators' stablecoin rules

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]]> Securities industry’s systemic risk worries ease https://www.investmentexecutive.com/news/from-the-regulators/securities-industrys-systemic-risk-worries-ease/ Wed, 04 Dec 2024 19:20:29 +0000 https://www.investmentexecutive.com/?p=497904 Level of concern declines alongside interest rates, CSA reports

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]]> CSA seeks sales practices reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-seeks-sales-practices-reforms/ Fri, 29 Nov 2024 15:08:45 +0000 https://www.investmentexecutive.com/?p=497634 Proposals aim to boost investor protection around proprietary fund sales

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]]> CSA set to hike SEDAR, NRD fees https://www.investmentexecutive.com/news/from-the-regulators/csa-set-to-hike-sedar-nrd-fees/ Thu, 21 Nov 2024 19:34:59 +0000 https://www.investmentexecutive.com/?p=497161 Dramatic revenue increase needed to keep pace with systems costs: regulators

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]]> CIRO poised to take over dealer registration https://www.investmentexecutive.com/news/from-the-regulators/ciro-poised-to-take-over-dealer-registration/ Wed, 20 Nov 2024 18:37:45 +0000 https://www.investmentexecutive.com/?p=497037 OSC to delegate registration to CIRO, rest of CSA considering it too

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]]> CSA to expand electronic access disclosure model https://www.investmentexecutive.com/news/from-the-regulators/csa-to-expand-electronic-access-disclosure-model/ Tue, 19 Nov 2024 21:02:50 +0000 https://www.investmentexecutive.com/?p=496994 Regulators aim to address concerns about retail investor protection

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