Regulatory

IIROC suspends and fines former rep for suitability failures

Clients lost more than half the value of their accounts, while the S&P/TSX Composite dropped only 2%

By Staff |April 1, 2019

2 min read

MFDA fines former rep $250,000 for false loan applications

The self-regulatory organization also issued a lifetime ban

By Staff |March 29, 2019

2 min read

Morisset to head CSA for two more years

Quebec's top regulator became CSA chair in March 2015

By Staff |March 28, 2019

1 min read

Advice and distribution take a hit from Australian reforms

Fund flow data make the case

By Staff |March 27, 2019

4 min read