News and resources for Canada's top financial advisors
Est. 1998
Industry
OSC sought fine but court ordered a suspended sentence
By James Langton |August 4, 2023
2 min read
The CSA and CIRO will consider such awards a compliance issue
By James Langton |August 1, 2023
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
By James Langton |July 31, 2023
Clients were invested in a fund that was too risky given their profiles
By James Langton |July 27, 2023
1 min read
BCSC sanctions offside online influencing
3 min read
Former Scotia Capital rep sanctioned in settlement with CIRO
By James Langton |July 26, 2023
Casino closures during the pandemic forced illicit activity into different spaces
Firm admitted to serving retail investors before SRO approvals, systems in place
By James Langton |July 24, 2023
Former Toronto mayoral candidate may have a case for breach of privilege by OSC staff
By James Langton |July 21, 2023
Reforms give the regulator enhanced powers to sanction uncooperative witnesses
By James Langton |July 20, 2023
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