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Keyword: Registration

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CSA gives guidance on transition to new registration regime

National Registration Database to be shut down in September

Registration reform proposals to be finalized this summer

The CSA says reforms are expected to come into force at the end of September

Investment firm fined for advising in B.C. without registration

Castlemore to pay $5,500 in fines and fees

  • By: IE Staff
  • January 16, 2009 January 16, 2009
  • 13:35

Regulators finalize streamlined process for dealer and advisor registration in multiple jurisdictions

Passport system available to registrants in all provinces, CSA says

  • By: IE Staff
  • December 21, 2008 December 21, 2008
  • 12:10

Saskatchewan a step closer to registration reform

Various amendments that are necessary to implement registration reform have been approved, the Saskatchewan Financial Services Commission (SFSC) said Wednesday.The SFSC notes that legislation amending the province’s securities legislation received royal assent on Dec. 3. It includes amendments to the registration provisions needed to adopt registration reform, and to implement the “business” trigger for registration.The […]

A leisurely approach to investment funds reform

But there’s little doubt provincial legislators have significant changes in mind

CSA pushes back target date for registration reform

Proposal to be unveiled by the end of April 2009

Quebec bill seeks to overhaul oversight system of dealers, advisors

Mutual fund managers would need to register with AMF

IFB sounds alarm on MFDA advisor rule

Proposal allows regulator to suspend a license based on gossip, Chouinard says

IIROC extends comment period on registration reform

New deadline is Dec. 29