...and international regulatory counterparts to address the growing threat of binary options investing, and developing a new national market analytics software program to identify potential misconduct.” The CSA’s 2016 Enforcement...
...by the Canadian Public Accountability Board (CPAB) in accessing audit work performed in certain foreign jurisdictions. The Consultation Paper describes a CPAB request for the CSA to amend National Instrument...
...continued economic uncertainty caused by the pandemic. CSA and SRO Staff will be highly attuned to inappropriate sales of DSC products ahead of the ban. Final Amendments to National Instrument...
...out in National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102). The amendments: require that at least two of the three existing significance tests in NI 51-102 are triggered (previously, only...
...CSA members’ participation in the International Monetary Fund (IMF) Financial Sector Assessment Program (FSAP). The goals of this assessment are to gauge the stability and soundness of the financial sector...
...in Corporate Debt Securities and Proposed Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy. The proposed amendments would introduce mandatory post-trade transparency requirements for government debt securities...
...organizations,” said Louis Morisset, CSA Chair and President and CEO of Québec’s Autorité des marchés financiers. “Since FinTech businesses are not constrained by national borders, it is in our best...
Toronto – The Canadian Securities Administrators (CSA) today published for comment proposed amendments to CSA National Instrument 44-102 Shelf Distributions (Proposed NI 44-102), which would replace exemptive relief that reporting...
...available on IIROC’s website. IIROC is the national self-regulatory organization that oversees all investment dealers and their trading activity in Canada’s debt and equity markets. IIROC carries out its regulatory...
...the course of the next three-year period. This new plan re-affirms the CSA’s commitment to responsive and harmonized regulation at the national level and alignment with international standards, where appropriate....
