News and resources for Canada's top financial advisors
Est. 1998
Industry
Firms make token effort to raise standards, cling to suitability, NASAA finds
By James Langton |September 5, 2023
2 min read
Regulation
Firm failed to reveal conflicted fee payments, regulator charged
1 min read
Products
New rules aim to improve transparency, investor protection in private fund market
By James Langton |August 23, 2023
3 min read
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Policymakers seek to ensure CCP readiness to handle loss events
Proposal would allow enforcement money to be used for IT projects and new innovation office
By James Langton |August 22, 2023
Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages
By James Langton |August 3, 2023
Offshore stock trades came alongside previously-sanctioned options trades
By James Langton |August 2, 2023
Life
Regulator issues proposed guidance for public comment until Aug. 25
By Staff |July 31, 2023
BCSC sanctions offside online influencing
By James Langton |July 27, 2023
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