The Canadian Securities Administrators (CSA) published for comment proposed National Instrument 26-101 Information Technology Sys...
CN Editor
October 02, 2026
SEC PROPOSES AMENDMENTS TO EXPAND RESPONSIBLE RETAILIZATION OF PRIVATE MARKETS
SIFMA SUBMITS COMMENT LETTER ON SEC E-DELIVERY RULE PROPOSAL
SEC ISSUES "INNOVATION EXEMPTION" TO FACILITATE THE TRADING OF TOKENIZED NMS STOCK AND REQUEST FOR COMMENT
CSA SEEKS COMMENT ON PROPOSED AMENDMENTS TO INVESTMENT FUND REPURCHASE TRANSACTIONS REQUIREMENTS
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RCMP LAYS CHARGES IN ALLEGED $164M PONZI SCHEME
ADVISOR SANCTIONED FOR TAKING CLIENT INFO
CLIENT FOCUSED REFORMS (CFR) - TARGETED COMPLIANCE GUIDANCE: PRACTICAL STEPS TO HELP DEALER MEMBERS ("DEALERS") AND APPROVED PERSONS ("APS") MEET THEIR REGULATORY OBLIGATIONS AND PROTECT INVESTORS
CIRO ALLEGES HARBOURFRONT WEALTH MANAGEMENT REP FAILED TO USE DUE DILIGENCE TO ENSURE INVESTMENT RECOMMENDATIONS WERE SUITABLE FOR CLIENTS