News and resources for Canada's top financial advisors
Est. 1998
Regulation
ESMA says novel abuses need to be addressed for DeFi sector to grow
By James Langton |October 11, 2023
2 min read
Life
The clampdown includes the sale of unsuitable universal life policies
By Michelle Schriver |October 3, 2023
4 min read
Industry
Regulator says the CoinField platform didn't have adequate assets to satisfy withdrawal requests
By James Langton |October 2, 2023
1 min read
Convicted fraudsters banned by Ontario tribunal
Firms not disclosing investments' negative ESG impact, Paris alignment
By James Langton |September 29, 2023
Another 10 firms sanctioned for extensive recordkeeping violations
Power to award options lies with board, not management
By James Langton |September 20, 2023
3 min read
Clients' assets misappropriated rather than invested, U.S. authorities charged
Firm rejects regulator's allegations, cites political motive for action
By James Langton |September 13, 2023
SEC sanctions Stoner Cats creator over NFT sales
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