News and resources for Canada's top financial advisors
Est. 1998
Regulation
Clients' assets misappropriated rather than invested, U.S. authorities charged
By James Langton |September 20, 2023
2 min read
Firm rejects regulator's allegations, cites political motive for action
By James Langton |September 13, 2023
3 min read
SEC sanctions Stoner Cats creator over NFT sales
Industry
Investment advisers violated revised marketing rules, regulator alleges
By James Langton |September 12, 2023
1 min read
Regulators' year in review also detailed crypto oversight, CFR sweep
By Staff |September 7, 2023
The exemptions were previously slated to end on Nov. 30
By Michelle Schriver |August 31, 2023
Back-office snafu meant clients didn't get discounts on standard fees
By James Langton |August 25, 2023
Products
New rules aim to improve transparency, investor protection in private fund market
By James Langton |August 23, 2023
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Proposal would allow enforcement money to be used for IT projects and new innovation office
By James Langton |August 22, 2023
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