Regulation

Clients have overseas visitors? Tell them about this new rule

Learn about new border-crossing requirements that will be enforced by the end of the month.

By Staff |September 6, 2016

1 min read

IIROC fines, suspends former rep for altering exam transcript

Following a disciplinary hearing held on June 22 in Toronto, an IIROC hearing panel found Rizwan Suleiman altered a document and provided it to his Dealer Member firm.

By Staff |August 31, 2016

1 min read

Feds to put financial sector to the test

Since 2008, Canada's banks and financial sector have been praised. But a new federal review will put the sector to the test.

By Staff |August 29, 2016

3 min read

OSC’s collection rate rises, says 2016 annual report

In its annual report, OSC says collections of monetary sanctions improved in 2016. Find out why.

By Staff |August 26, 2016

2 min read