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Searching Content indexed under Compliance by Shane D'Souza ordered by Published Date Descending.
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Registrants Face Significantly Increased Obligations Under Proposed CSA Rule Amendments
Recently, the Canadian Securities Administrators (CSA) published for comment important rule amendments to National Instrument 31-103 Registration Requirements, Exemptions & Ongoing Registrant Obligations ...
Canada
3 Aug 2018
2
CSA's 2016 Enforcement Report: Insights Into Securities Regulatory Activity
The Canadian Securities Administrators (CSA) recently released its annual report on the enforcement activities of its members. The CSA is an umbrella group of Canada's securities regulators.
Canada
13 Mar 2017
3
The OSC Overturns IIROC Panel's Decision With Harsher Sanctions
The Ontario Securities Commission recently imposed harsher sanctions than were ordered by a panel of Investment Industry Regulatory Organization of Canada following a contested proceeding.
Canada
9 Jul 2015
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