News and resources for Canada's top financial advisors
Est. 1998
Industry
"Highly specific" information led to successful enforcement, director says
By James Langton |November 17, 2020
1 min read
For their independent data analysis, the whistleblower was awarded US$1.1 million
By James Langton |November 13, 2020
Award recognizes efforts to promote human rights or fight corruption
By James Langton |October 22, 2020
Clues are often buried in technical information, the regulator says
By James Langton |April 6, 2020
The individual provided “extensive and sustained assistance” to the SEC
By James Langton |February 28, 2020
Three victims of fraud notified SEC of scheme targeting retail investors
By James Langton |November 15, 2019
It's the first award under a program designed to incentivize internal reporting
By Staff |May 24, 2019
In total, the SEC has now paid out approximately US$376 million to 61 whistleblowers
By Staff |March 26, 2019
2 min read
The rewards are the first under the regulator's program, launched in 2016
By James Langton |February 27, 2019
Advisor's Edge
Comparing the success of investor protection programs in Canada and the U.S.
By Al and Mark Rosen |September 21, 2018
4 min read
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