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On July 25, 2023, SEDAR+ will replace the existing SEDAR and CSA cease trade order and disciplined persons platforms. SEDAR+ is an upgraded platform that allows Canadian public companies to file their disclosure documents with regulators. It will also integrate with the cease trade orders database.
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Has your investment adviser asked you to appoint a trusted contact person (TCP) on your account? Canadian securities regulators added the TCP as an enhancement to protect older and vulnerable investors. Adding a TCP is available to all investors no matter their age. Advisers are required to ask their clients to name a TCP, but it is up to the client if they wish to provide one or not.
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Tomorrow is the start of seniors month. Throughout June the Nova Scotia Securities Commission will be sharing investor education content relevant to seniors and delivering presentations to seniors groups. Here is a look at some of the content, and presentation we have scheduled:
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Last week we went over the basics of a form of derivative known as options. Bringing up derivatives led to some other derivative-related questions, specifically around swaps. So, today we’re going to look at three different types of swaps.
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A few DIY investment platforms in Canada recently began offering options trading to customers. To make sure investors know what they’re getting into before investing in options here’s a quick rundown of how options investing works.
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You may be aware that an exchange-traded fund (ETF) is typically a collection of securities that allows an investor to diversify their portfolio by purchasing one investment. That has changed slightly following the launch of the first single-stock ETFs in Canada in December 2022.
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Our first regulatory review of 2023 looks at all releases and notices issued by the Nova Scotia Securities Commission and the Canadian Securities Administrators (CSA) since January. It’s been a busy start to 2023 for securities regulators.
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The Government of Canada introduced the First Home Savings Account (FHSA) this year. The FHSA is a new registered account that can hold cash and securities. As the name suggests, it is a registered account to help Canadians save for their first home.
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Our series on No Frills Investing concludes this week with a look at three basic investment products that you may be offered by a registered adviser, or that you may be interested in purchasing if you’re using a discount broker (also known as order execution only service). We’ll start out by describing each investment product and then break down the fees involved with each.
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In Part 2 of our No Frills Investing series we’re looking at the difference between financial planning and investment advice.
As you may know, anyone who sells or advises on securities in the province of Nova Scotia must register with the Nova Scotia Securities Commission (NSSC). What you may not know is that someone calling themselves a “financial planner” may not need to register with the NSSC.