From influencers to confetti drops, investor protection threats evolve
International regulators are consulting on measures for overseeing an increasingly digitized retail investment business
Latest news in Industry News
Four in 10 financial workers feeling burned out
Only about half said their employer helps them cope with workplace stress
- By: Staff
- January 17, 2022 January 17, 2022
- 14:17
Royce Mendes joins Desjardins
The former CIBC economist is Desjardins’ new head of macro strategy
- By: Staff
- January 17, 2022 January 17, 2022
- 12:58
After escaping ASC sanctions, man faces new charges
Regulator alleges man violated trading, officer bans
- By: James Langton
- January 14, 2022 January 14, 2022
- 15:58
Ontario’s title regulation rules finalized
Final rules sent to minister for approval; implementation remains uncertain
- By: James Langton
- January 14, 2022 January 14, 2022
- 13:11
Natixis sells minority stake in Fiera Capital
A 2019 distribution agreement remains in place, with Fiera as Natixis' preferred Canadian distributor
- By: Staff
- January 14, 2022 January 14, 2022
- 12:43
No time to waste on climate risk, BoC and OSFI warn
Scenario analysis finds that delaying policy action raises the economic and financial sector impacts
- By: James Langton
- January 14, 2022 January 14, 2022
- 12:31
FINTRAC fines credit union
Regulator sanctions firm for anti–money laundering compliance violations
- By: Staff
- January 13, 2022 January 13, 2022
- 15:20
CSA adopts changes to auditor oversight rules
The amendments give regulators access to audit work performed by foreign firms
- By: Staff
- January 13, 2022 January 13, 2022
- 14:49
IIROC proposes rule amendments to better protect investors
Changes include clearer requirements for dealers to conduct investigations
- By: Staff
- January 13, 2022 January 13, 2022
- 14:10
Nicola Wealth appoints head of international equities
Brad Radin and his team will join the firm's Toronto office
- By: Staff
- January 13, 2022 January 13, 2022
- 13:59
ASC permanently bans convicted fraudster
The former Alberta resident operated a Ponzi scheme through his Ontario business
- By: Staff
- January 13, 2022 January 13, 2022
- 13:21
Federation of Mutual Fund Dealers announces 2022 board
The board's priorities include watching the many regulatory changes coming this year
- By: Staff
- January 13, 2022 January 13, 2022
- 11:24
Dave Kelly named head of Gluskin Sheff
Kelly will report to Onex president Bobby Le Blanc in the newly created role
- By: Daniel Calabretta
- January 12, 2022 January 12, 2022
- 12:09
FSRA to shine a light on enforcement
The regulator is stepping up public disclosure of disciplinary actions
- By: Staff
- January 11, 2022 January 11, 2022
- 16:13
OBSI releases strategic plan amid increased scrutiny
Promises for action on OBSI have repeatedly gone unmet, however
- By: James Langton
- January 11, 2022 January 11, 2022
- 15:16
Nova Scotia regulator bans repeat offender
The former rep was also ordered to pay a $500,000 fine for securities violations
- By: James Langton
- January 11, 2022 January 11, 2022
- 12:55
Market data faces scrutiny from U.K. regulator
FCA launching series of studies in response to anti-competitive concerns
- By: James Langton
- January 11, 2022 January 11, 2022
- 12:47
CI Financial acquires Northwood Family Office
Toronto-based firm manages $2.2 billion in assets for HNW and UHNW clients
- By: Rudy Mezzetta
- January 11, 2022 January 11, 2022
- 10:17
Financial sector outlook bolstered by recovery: Fitch
Operating conditions are set to improve alongside growth and rising rates
- January 10, 2022 January 10, 2022
- 17:07
IIROC panel sanctions rep for KYC violations
Clients lost over $1 million on risky options strategy in market crash
- By: James Langton
- January 10, 2022 January 10, 2022
- 16:18
Banking regulator looking at higher capital buffer for climate risks
OSFI will launch discussions with financial institutions as it looks to produce climate risk guidelines this year
- By: Ian Bickis, Canadian Press
- January 10, 2022 January 10, 2022
- 15:42
Crypto scams top regulators’ list of threats
Stories of "crypto millionaires" have led to big bets and big losses
- By: James Langton
- January 10, 2022 January 10, 2022
- 14:12
Large bank M&A deals face rougher ride from regulators: Fitch
Growing antitrust concerns could thwart larger transactions
- By: James Langton
- January 6, 2022 January 6, 2022
- 17:29
Canadians put extra wealth to work in 2021
ETFs, mutual funds scored record assets last year
- By: Michelle Schriver
- January 6, 2022 January 6, 2022
- 17:13