News and resources for Canada's top financial advisors
Est. 1998
Industry
Proposal would harmonize standards throughout Quebec's financial sector
By James Langton |September 10, 2021
2 min read
The firm failed to adopt recommendations from the regulator, internal auditors
By James Langton |December 14, 2020
3 min read
The committee will advise on fund management and distribution
By Staff |August 7, 2020
1 min read
The regulator is encouraging investors to be calm and vigilant
By James Langton |March 12, 2020
Members serve three-year terms
By James Langton |February 10, 2020
Unregistered dealing and illegal distribution lead to a 90-day jail sentence
By James Langton |December 20, 2019
U.S. court enters final judgment on unregistered initial coin offering
By James Langton |November 8, 2019
Lacroix had been serving in the role on an interim basis since the beginning of the year
More than half of reviewed cases required remedial action
By Staff |September 19, 2019
Oumar Diallo will be the regulator’s front man with the fintech industry
By Staff |September 9, 2019
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