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Conceptual image of micro circuit Security concept

From influencers to confetti drops, investor protection threats evolve

International regulators are consulting on measures for overseeing an increasingly digitized retail investment business

Young business woman suffering stress working at office computer

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
scales of justice

After escaping ASC sanctions, man faces new charges

Regulator alleges man violated trading, officer bans

Ontario Queen's Park Legislative Building

Ontario’s title regulation rules finalized

Final rules sent to minister for approval; implementation remains uncertain

Financial graphs analysis

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

FINTRAC fines credit union

Regulator sanctions firm for anti–money laundering compliance violations

  • By: Staff
  • January 13, 2022 January 13, 2022
  • 15:20
photo of hands holding pen under document and pressing calculator buttons

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
11119737 - in the spotlight featuring concept for the theater stage with glowing lights on red velvet cinema curtain and drapes representing the entertainment communications concept of an important announcement in a rich cinema and theatrical environment.

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
court gavel regulatory

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
Cut purple ribbon

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


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
Glowing light bulb on wooden wall with drawing charts and

OBSI releases strategic plan amid increased scrutiny

Promises for action on OBSI have repeatedly gone unmet, however


Nova Scotia regulator bans repeat offender

The former rep was also ordered to pay a $500,000 fine for securities violations

Stock Quotes as graphs and tables with magnifier and calculator in panoramic format

Market data faces scrutiny from U.K. regulator

FCA launching series of studies in response to anti-competitive concerns

Shot of two businessmen shaking hands in an office

CI Financial acquires Northwood Family Office

Toronto-based firm manages $2.2 billion in assets for HNW and UHNW clients


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
Wooden gavel used by a judge or auctioneer

IIROC panel sanctions rep for KYC violations

Clients lost over $1 million on risky options strategy in market crash

Rain On Umbrella - Weather Concept

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

Abstract,Golden Bitcoin money on computer.

Crypto scams top regulators’ list of threats

Stories of "crypto millionaires" have led to big bets and big losses

Damaged roadway

Large bank M&A deals face rougher ride from regulators: Fitch

Growing antitrust concerns could thwart larger transactions


Canadians put extra wealth to work in 2021

ETFs, mutual funds scored record assets last year