Regulatory

Robos not exempt from registration, conduct rules: CSA

The arrival of robo-advisors in Canada has prompted CSA to clarify that its rules are "technology-neutral"

By Staff |September 25, 2015

1 min read

SEC charges six in stock fraud scheme

The SEC has charged six men, including a father and three sons, with defrauding investors in Gerova Financial Group Ltd., whose shares once traded on the New York Stock Exchange.

By Staff |September 24, 2015

2 min read

CSA finalizes changes to rights-offering regime

CSA has announced the final implementation of a streamlined prospectus exemption for rights offerings by reporting issuers.

By Staff |September 24, 2015

2 min read

Advocis, FPSC join advisor regulation debate

Advocis wants to do away with MFDA, IIROC, OSC, and FSCO. It's calling for one delegated administrative authority.

By Staff |September 23, 2015

2 min read