Regulation

BCSC now has strongest regulatory enforcement powers in the country

B.C. overhauls securities laws in most extensive changes since 1996

By James Langton |October 22, 2019

2 min read

Former rep banned, fined $1.6M for ‘egregious’ misconduct

MFDA panel says respondent “caused significant damage to the integrity of the capital markets”

By James Langton |October 21, 2019

2 min read

IIROC fines firm $50K for order-execution procedure

The non-compliant procedure resulted in no client harm

By Staff |October 18, 2019

2 min read

FSRA lays out framework for issuing guidance

Ontario's new regulator will use four distinct categories

By Staff |October 18, 2019

1 min read