Regulatory

IFIC outlines problems with proposed ban of DSCs, trailers

The institute's comment letter stresses preservation of investor choice

By Staff |December 13, 2018

2 min read

BCSC hiking fees starting Dec. 30

Annual registration and other fee changes reflect a more complex industry, the regulator says

By Staff |December 7, 2018

1 min read

OSC seeking permanent ban for convicted securities fraudster

The Waterloo, Ont. woman received a two-year sentence in October

By James Langton |December 6, 2018

1 min read

IIROC suspends, fines advisor $100K for unsuitable investments

Advisor also made personal trades in a client’s account

By Staff |December 6, 2018

2 min read