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Securities Law Act, Regulations & Rules; Instruments & Policies; Instruments & Policies (prior to 2000) National Policy Statements; Forms; BC Notices; … In a series of recent Ontario Securities Commission (OSC) administrative proceedings, enforcement staff of the OSC (Staff) have sought to present the allegations against respondents in a manner that would, if accepted, effectively double the size of monetary penalty that can be imposed. Click here for an Excel file. 506-643-7853, Renée Dyer Toronto – The Canadian Securities Administrators (CSA) today adopted final rules that implement a trailing commission ban (OEO trailer ban) to prohibit the payment of trailing commissions by fund organizations to dealers who do not make a suitability determination, such as order-execution-only (OEO) dealers. Additionally, the CSA wishes to reiterate that the OEO trailer and DSC bans were motivated by important investor protection concerns and developed after extensive research, analysis, and consultations, which are summarized in the notice published today by the CSA. The Stock List Summary is available here as a PDF file. 604-899-6713, Marissa Sollows Investment Industry Regulatory Organization of Canada, Collaboration with other compensation plans. The Canadian Securities Administrators CSA has investor resources to prevent securities fraud. The Canadian Securities Administrators (CSA) is comprised of Canada's 13 provincial and territorial securities regulators that are responsible for investor protection and market integrity in their respective jurisdictions. The CSE Cannabis Stock List is available here as a PDF file. All securities and companies can be accessed through the search feature by name or trading symbol. Forbes recognizes Commissionaires as one of Canada’s best employers for the fifth consecutive year. The CSA, the council of the securities regulators of Canada’s provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets.

September 17, 2020 - News Releases. Each company appears in one of the industry sector pages below. Click here for an Excel file. Kristen Rose  403-592-8186, Sylvain Théberge investors (English and Chinese version) 卑斯證監會指控一女仕欺詐三名卑斯省投資者三百萬元, Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers, VIPR Corp. (formerly Viper Corp., which was formerly S2C Global Systems, Inc.) [Variation of Cease Trade Order], Alchemist Mining Incorporated [Revocation Order], © 2020 British Columbia Securities Commission, Inquiries: 604-899-6854 or 1-800-373-6393, Understanding Your BCSC Compliance Examination, Marketplaces, SROs & Market Infrastructure, Canadian securities regulators adopt ban on trailing commissions for order-execution-only dealers. Office of the Superintendent of Securities,

The effective date takes into account the need for dealer firms and representatives to transition their systems and processes to comply with these new rules, reassess their internal compensation arrangements and implement new fee charging systems. Included in this group are companies involved in Financial Services, Real Estate, Media, Consumer and Industrial Products.

For information on listing company filings click here: Company Filings. The OEO trailer ban affects all funds that pay trailing commissions, including funds sold under the DSC option. Each company appears in one of the industry sector pages below. The Securities Commission Malaysia, abbreviated SC, a statutory body entrusted with the responsibility of regulating and systematically developing the capital markets in Malaysia.

To carry out its responsibilities more efficiently and reduce duplicative and unnecessary regulatory burdens, the CSA relies on: The CIPF Board Chair and the President and Chief Executive Officer meet with the CSA upon request to report on CIPF activities. All securities and companies can be accessed through the search feature by name or trading symbol. Ontario Securities Commission CANADIAN SECURITIES COMMISSIONS. Alberta Securities Commission. The Canadian Securities Exchange puts disclosure at the forefront by providing each listed company with individual pages devoted to trading activity and stock charts, corporate disclosure and regulatory filings. Defined in the CSE Trading rules as "Alternative Market Securities", securities listed on any Canadian exchange are eligible. Autorité des Marchés Financiers British Columbia Securities Commission Manitoba Securities Commission New Brunswick Securities Administration Branch Newfoundland and Labrador Securities Commission Northwest Territories Superintendent of Securities Nova Scotia Securities Commission

Checklist of Initial Steps to Take if Your Member Firm Fails. More specifically, the CSA expects fund organizations and dealers to take any necessary measures to ensure that investors with DSC holdings will not be required to pay redemption fees as a result of the OEO trailer ban, and to clearly communicate the measures they intend to adopt to investors. To achieve maximum efficiency for the benefit of the market, the passport regulators accept the OSC's decisions under passport.

Autorité des marchés financiers

Financial and Consumer Services Self-regulatory organizations (SROs), such as the Investment Industry Regulatory Organization of Canada (IIROC) - the national SRO which oversees all investment dealers, Market infrastructure entities and compensation funds, such as exchanges, clearing agencies, and the Canadian Investor Protection Fund (CIPF).

The CSE Blockchain List is available here as a PDF file.Click here for an Excel file. The Mining sector includes emerging companies engaged in mineral exploration and development, the backbone of Canada's natural resource industry. © 2020 CNSX Markets Inc. All Rights Reserved, © 2020 CNSX Markets Inc. Tous droits Réservés, CSE Cannabis Stock List is available here. The OEO trailer ban takes effect on June 1, 2022, the same time as rules adopted by all provinces and territories except Ontario that implement a ban on deferred sales charges (DSC) on mutual funds. Canadian Securities Regulators Publish Liquidity Risk Management Guidance for Investment Fund Managers. How Does CIPF Fit into the Canadian Regulatory System? Clean technology describes technologies, products and services that minimize impacts on the environment by improving operational performance and productivity and reducing natural resources usage... Manitoba Hydro Savings Bonds are issued by The Manitoba Hydro-Electric Board ("Manitoba Hydro"), a Crown Corporation of the Province of Manitoba. The CSA, along with the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada (the SROs), remind registrants of their obligations to treat investors fairly and recommend suitable products, as many investors face shorter time horizons and heightened needs for liquidity due to continued economic uncertainty caused by the pandemic. Canadian securities regulators propose changes to the offering memorandum prospectus exemption Are you looking for information about Client Focused Reforms ? Canadian securities regulators propose changes to the offering memorandum prospectus exemption. It also aims to achieve consensus on policy decisions that affect Canada's capital market and its participants and to work collaboratively in the delivery of regulatory programs across Canada.

Launched in September 2007, the CSE was the first trading venue in Canada with a continuous auction market to compete with the incumbent stock exchanges. For information on listing company news click here: Company News

CSA Disclosure Systems.

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