Keyword: Registration

287 results found
A creative woman asking a question at the office

SRO sets out common requirements, contemplates shift to annual CE cycle

Dogecoin

Regulator issues first in a planned series of discussion papers on crypto rules

penalty card

Rep circumvented registration limits to trade wider range of securities

Judge's gavel with magnifying glass on black.

The firm and its founder were permanently banned, fined

Crypto currency

Regulator lays out plans for rule consultations with new regime due in 2026

hand holding a megaphone

RBC still requires the credential in retail branches, FSRA provides date for forthcoming title protection review

Dramatic revenue increase needed to keep pace with systems costs: regulators

Dividing groups

OSC to delegate registration to CIRO, rest of CSA considering it too

new label

Firm to help build infrastructure for new exam-based approach to reps' education

Business lawyer team. Working together of lawyer in the meeting.

Panel dismisses call for stronger deterrence given risks posed by crypto, social media