Regulatory

Offshore firms pay $4M for unregistered trading of contracts for difference

An OSC hearing panel approved a settlement and said the sanctions represent a deterrent

By James Langton |July 15, 2021

2 min read

New rules enable firms to use temporary holds, seek trusted contacts

The measures are intended to help protect older and vulnerable clients

By James Langton |July 15, 2021

2 min read

Rep sanctioned over needless DSC sale

A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation

By James Langton |July 12, 2021

2 min read

B.C. to launch single regulator for financial sector on Aug. 1

Real estate regulators to be rolled into BCFSA

By James Langton |July 9, 2021

2 min read