enforcement

Court rejects fine for trading ban breach

Industry

Court rejects fine for trading ban breach

OSC sought fine but court ordered a suspended sentence

By James Langton |August 4, 2023

2 min read

Regulators say advisor awards based on production may mislead clients

Industry

Regulators say advisor awards based on production may mislead clients

The CSA and CIRO will consider such awards a compliance issue

By James Langton |August 1, 2023

2 min read

Decorative pattern

Industry

SEC alleges US$1 billion crypto offerings were offside

Regulator insists cryptoassets were securities, despite efforts to skirt that designation

By James Langton |July 31, 2023

2 min read

Former portfolio manager agrees to ban, $60K fine to settle KYC failings

Industry

Former portfolio manager agrees to ban, $60K fine to settle KYC failings

Clients were invested in a fund that was too risky given their profiles

By James Langton |July 27, 2023

1 min read