News and resources for Canada's top financial advisors
Est. 1998
Industry
The CSA and CIRO will consider such awards a compliance issue
By James Langton |August 1, 2023
2 min read
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
By James Langton |July 31, 2023
Securities industry association expresses concerns with planned changes
By James Langton |July 27, 2023
Proposed rules would require firms to identify and combat conflicts built into technologies
By James Langton |July 26, 2023
Former Scotia Capital rep sanctioned in settlement with CIRO
1 min read
Life
New guidelines adopt global banking regulators' standards
Market Insights
Some of the commitments call for third-party oversight of commercial AI systems
By The Associated Press |July 21, 2023
4 min read
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
Planning and Advice
Inheriting a client doesn’t mean cutting corners with KYC
By Michelle Schriver |July 19, 2023
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