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Searching Content indexed under Compliance by Cristian Blidariu ordered by Published Date Descending.
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CSA Published Guidance On Expectations For Compliance Consultants Performing Regulatory Mandates
On August 22, the Canadian Securities Administrators (CSA) issued guidance for regulated securities firms such as portfolio managers
Canada
28 Aug 2019
2
IIROC Proposes Significant Changes To Continuing Education Rules
Each CE requirement may be met by taking one course, or a series of eligible courses.
Canada
9 Aug 2019
3
FINTRAC And IIROC Strengthen Information Sharing With Enhanced Memorandum Of Understanding
On May 30, 2019, the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) and the Investment Industry Regulatory Organization of Canada (IIROC)
Canada
14 Jun 2019
4
Takeaways From The OSC's Second Roundtable On Reducing Regulatory Burden
As discussed in our recent posting, the Ontario Securities Commission (OSC) has identified regulatory burden reduction as one of its key priorities for the coming year.
Canada
28 May 2019
5
IIROC Publishes Its Annual Compliance Priorities Report For 2018/2019
On January 15, 2019, the Investment Industry Regulatory Organization of Canada ("IIROC") published its annual Compliance Priorities Report for 2018/2019.
Canada
7 Feb 2019
6
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
7
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
8
CSA Sets Out Priorities For 2016-2019
The CSA states its strategic objectives without once mentioning the possible impact on it of the proposed national Cooperative Capital Markets Regulatory Authority (CCMRA) some of its members support.
Canada
25 Aug 2016
10
Tomorrow, May 18, Registrants Will Receive The OSC's 2016 Risk Assessment Questionnaire – What Will Your Firm's Risk Rating Be?
The OSC uses data gathered through the RAQ to apply a risk ranking to firms. Firms with higher risk rankings are more likely to be targeted by the OSC for compliance reviews.
Canada
24 May 2016
11
CSA Registrant Proposals Have Far-Reaching Effects On Dealers And Advisers In Canada
Recently, the Canadian Securities Administrators (CSA) released an important Consultation Paper that proposes to significantly increase the obligations of all advisers, dealers and representatives...
Canada
12 May 2016
12
OSC Sets Out Priorities For 2016-2017
The Ontario Securities Commission (OSC) released its draft Statement of Priorities for 2016-2017. The comment period ends May 9th.
Canada
28 Apr 2016
13
IIROC Announces Dealer Sweep On Compensation-Related Conflicts
On April 6, IIROC published Notice 16-0068 – Managing Conflicts in the Best Interest of the Client.
Canada
10 Apr 2016
14
IIROC 2016 Compliance Priorities
Set out below is a summary of where IIROC will focus its compliance review resources.
Canada
16 Mar 2016
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