Online fraud awareness campaign confirms investors’ vulnerability

Calgary – Results of a recent Canadian securities regulators’ fraud awareness campaign confirm investors remain vulnerable to online investment fraud. Internet ads and unsolicited emails posted during the online campaign...

CSA and IIROC Seek Input on Trade Transparency

Toronto – The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) announced today that they are seeking feedback from investors and market participants on appropriate...

Canadian Securities Regulators’ 2011 Enforcement Report Highlights Proactive Measures to Protect Investors

Calgary – The Canadian Securities Administrators (CSA) today released its 2011 Enforcement Report that outlines how Canadian securities regulators are actively working to protect investors and prevent abusive conduct in...

CSA publishes findings and recommendations for the segregation and portability of customer positions and related collateral in over-the-counter derivatives clearing

Toronto – The Canadian Securities Administrators (CSA) today published for comment Consultation Paper 91-404 – Derivatives: Segregation and Portability in OTC Derivatives Clearing. The Consultation Paper sets out the CSA...

Canadian securities regulators modernize rules concerning mutual funds

Toronto – The Canadian Securities Administrators (CSA) announced today the completion of the first phase of its “Modernization Project”, which seeks to update the product regulation of publicly offered investment...

Canadian securities regulators adopt regulatory regime for Credit Rating Organizations

Toronto – The Canadian Securities Administrators announced today the adoption of NI 25-101 Designated Rating Organizations, which will impose requirements on credit rating organizations wishing to have their credit ratings...

Bill Rice named new Chair of the Canadian Securities Administrators

Calgary – The Canadian Securities Administrators (CSA) have appointed William S. Rice, Q.C., Chair and Chief Executive Officer of the Alberta Securities Commission, as the new Chair of the CSA...

Consultation on Possible Options for the Incorporation of Individual Representatives of Registered Dealers and Advisers

A working group of provincial/territorial government officials is asking for input from securities market participants and other stakeholders regarding the possible options for the incorporation of individual sales representatives of...

Canadian Securities Regulators Release Results of Corporate Governance Disclosure Review

Toronto – The Canadian Securities Administrators (CSA) today published CSA Staff Notice 58-306 2010 Corporate Governance Disclosure Compliance Review, which sets out results of the review and provides further guidance...

CSA and IIROC publish proposals on the regulatory framework for Dark Pools and Dark Orders

Toronto – The Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC) today published for comment Joint CSA/IIROC Position Paper 23-405 Dark Liquidity in the Canadian...