Industry

Four U.S. firms fined combined total of nearly US$5M: FINRA

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By Staff |July 27, 2017

2 min read

WisdomTree Canada reaches ETF deal with Questrade

WisdomTree and Questrade to work together on ETF sales and client education.

By Staff |July 27, 2017

1 min read

CSA finalizes amendments for firms’ registrations

The Canadian Securities Administrators has issued final amendments to the registration rules for firms. The amendments are to National Instrument 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), and National Instrument 33-109: Registration Information. The changes enhance custody requirements for some registered firms, clarify activities that may be conducted by exempt market dealers, […]

By Staff |July 27, 2017

2 min read

How to approach conflict of interest transactions: CSA notice

The securities regulators of Ontario, Québec, Alberta, Manitoba and New Brunswick have published CSA Multilateral Staff Notice 61-302: Staff Review and Commentary on Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions. The notice deals with how to approach conflict of interest transactions, including insider bids, issuer bids, business combinations and related party […]

By Staff |July 27, 2017

1 min read