News and resources for Canada's top financial advisors
Est. 1998
Industry
VC firm charged 10 years of fees upfront, drawing investors ire
By James Langton |March 4, 2022
2 min read
Proposals aim to address liquidity and redemption issues from March 2020
By James Langton |December 15, 2021
1 min read
The U.S. regulator called out the practice of granting options ahead of good news
By James Langton |November 29, 2021
The U.S. regulator reported a record year for whistleblowers
By James Langton |November 19, 2021
Drop in public company cases follows turnover at the U.S. regulator, pandemic
By James Langton |November 17, 2021
Products
Regulator continues to be concerned about market manipulation
By James Langton |November 12, 2021
The regulator's reviews uncovered deficiencies at most firms examined
Tipster gets extra US$2-million payout for tip that led to SEC and DoJ action
By James Langton |October 29, 2021
Leveraged and inverse ETFs may present risks that go beyond retail investors, Gary Gensler said
By James Langton |October 4, 2021
Rule changes from 2020 enable SEC to ban frivolous filers from its tip award program
By James Langton |September 28, 2021
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