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Keyword: Disclosure

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investor protection

CIRO’s investor office sets broad agenda

Group to focus on investor-advisor relationships, complaints, suitability

Shot of a group of young businesspeople using a laptop during a meeting in the boardroom of a modern office

Investors ask for mandated diversity disclosure

Issuers prefer a more principles-based approach to sharing data about board members

Exterior of CRA headquarters building

CRA solidifies notifiable transaction list

Tax advisors still on shaky ground as five sets of transactions are confirmed

advisor and client meeting

AMF consults on total cost reporting for seg funds

Draft rules out for comment, expected to take effect in 2026

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

BCSC sanctions company, exec for misleading investors

Former executive fined, banned for seven years due to misconduct

Patron saint of investor protection passes away

Groundbreaking securities lawyer, Glorianne Stromberg, dies

cryptocurrencies

Basel Committee issues crypto disclosure proposal

Standardization seeks to enable market discipline, reduce information asymmetry

Lightbulb drawn around tree image, indicating sustainable ideas

5 actions for fund managers to overcome ESG pain points

Evolving expectations leave some managers struggling

  • By: Dustyn Lanz
  • October 16, 2023 October 16, 2023
  • 15:00
Dispute at desk

SEC targets best-interest rules in broker reviews

Regulator's exam division sets compliance priorities for 2024

Magnifying glass

SEC to shine a light on short selling

Regulator adopts new rules to boost transparency around short activity, securities lending