News and resources for Canada's top financial advisors
Est. 1998
Industry
The firm's U.S. advisory unit will pay US$25 million to resolve charges
By James Langton |September 25, 2023
2 min read
Regulation
Firm rejects regulator's allegations, cites political motive for action
By James Langton |September 13, 2023
3 min read
Investment advisers violated revised marketing rules, regulator alleges
By James Langton |September 12, 2023
1 min read
Company sanctioned for employee agreements that waived rights to whistleblower awards
By James Langton |September 8, 2023
Firms make token effort to raise standards, cling to suitability, NASAA finds
By James Langton |September 5, 2023
Products
Grayscale Investments won its challenge of an SEC decision
By Staff |August 29, 2023
Back-office snafu meant clients didn't get discounts on standard fees
By James Langton |August 25, 2023
New rule sharply narrows prop traders' SRO exemption
By James Langton |August 23, 2023
Regulators fined firms a total US$549 million for record-keeping failures
By James Langton |August 8, 2023
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
By James Langton |July 31, 2023
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