Regulatory

Small firms less prepared for cyber risks: report

NASAA says cybersecurity deficiencies at small firms are on the rise

By Staff |September 9, 2019

1 min read

Clock is ticking for fraud victims

Victims of a day-trading scheme have until Dec. 6 to file a compensation claim

By Staff |September 6, 2019

1 min read

IIROC dealer regulation fees set to rise

The SRO’s annual report was published on Tuesday

By Staff |September 3, 2019

3 min read

OSC puts large derivatives dealers on notice

Regulator wants firms to assess their FX oversight following settlements with TD and RBC

By James Langton |August 30, 2019

2 min read