News and resources for Canada's top financial advisors
Est. 1998
Regulation
Offshore stock trades came alongside previously-sanctioned options trades
By James Langton |August 2, 2023
1 min read
Industry
Proposal revises conservative approach initially sought by IIROC
By James Langton |July 20, 2023
2 min read
Tribunal finds it has no say in regulator's investigations
By James Langton |July 18, 2023
B.C court gives plaintiff another chance to clarify proposed claim
By James Langton |July 17, 2023
Global group's rules target recent turmoil and misconduct in crypto markets
SEDAR will no longer be available for filing the night of July 20
By Staff |June 30, 2023
Economic Indicators
European Commission proposes legal framework, ECB to have final call on digital currency
By James Langton |June 28, 2023
What the regulator's looking for
By Michelle Schriver |September 28, 2017
3 min read
Planning and Advice
Make sure you only take on approved staff
By Jonathan Heymann |December 11, 2015
How to be compliant
By Jonathan Heymann |October 30, 2015
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