News and resources for Canada's top financial advisors
Est. 1998
Industry
Proposed regime would apply to prospectuses and financials but not proxies
By James Langton |April 7, 2022
2 min read
The investment dealer failed to identify and review suspicious trader activity
By Staff |April 7, 2022
Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says
By James Langton |March 30, 2022
PwC was given the go-ahead to reject outside bids and proceed with the wind-down
By James Langton |March 29, 2022
A panel found the MFDA's suspension was unreasonable and disproportionate for a minor violation
By James Langton |March 28, 2022
3 min read
The rules come into force on March 28
By Michelle Schriver |March 23, 2022
Unregistered firm Binance promised the same thing last year
By James Langton |March 17, 2022
Most existing commissioners will serve on either the board or tribunal
By James Langton |March 11, 2022
1 min read
Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says
By Michelle Schriver |March 10, 2022
Desired skills include advisory experience
By Staff |March 10, 2022
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