Capital continues to move at such a high speed from stringently regulated public markets to the lightly monitored private arena that regulators are scrambling...

Brokerage regulator looks to new challenges after IIROC

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Curate RegWatch - April 2, 2014

Susan Wolburgh Jenah is retiring as head of Canada’s brokerage industry regulator, saying she wants to tackle new goals after spending eight years as...

Five ways regulation protects investors

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Curate RegWatch - February 10, 2014

1. Meeting the standards Dealers, advisers and investment fund managers must demonstrate fitness for registration at the time they apply for registration, and they must...

Registration categories

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Curate RegWatch - February 10, 2014

Dealers and advisers – know the difference “Dealer” and “adviser” aren’t just titles – they’re legal terms that describe a range of people who can...

How registration protects investors

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Curate RegWatch - February 10, 2014

Generally, anyone selling securities, offering investment advice or acting as an investment fund manager in Canada must register with a securities regulator. 4 key things...

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