Regulatory

IIROC fines firm $350K for supervision failures

After an advisor's death, his clients complained about trading activity in their accounts

By Staff |August 4, 2021

2 min read

Plan for new SRO gets positive reviews from advocates, industry

The CSA's plan received broad support, but there's plenty of work to do on the details

By Michelle Schriver |August 4, 2021

4 min read

CSA to create new single self-regulatory organization

Consolidated rules and enhanced governance will be part of the changes

By Michelle Schriver |August 3, 2021

5 min read

Insurers’ supervision of MGAs falls short, Ontario regulator says

FSRA releases findings from a review and outlines next steps

By Staff |July 29, 2021

2 min read