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Amendments to protect older and vulnerable clients to go into force at year-end

The Canadian Securities Administrators will soon finalize amendments made to National Instrument 31-103 and its companio…

SOCIETY | April 16 2021 03:15PM
Advisor banned by two regulators

The Investment Industry Regulatory Organization of Canada has permanently banned an advisor who was previously banned by…

INVESTMENT | April 13 2021 03:30PM
Regulator to reduce sanctions and penalties under new early resolution program

The Investment Industry Regulatory Organization of Canada is offering to reduce sanctions if an individual or firm guilt…

INVESTMENT | April 12 2021 10:30AM
Canadian regulators clamp down on crypto asset trading platforms

A flurry of announcements from regulators all put crypto asset trading platforms on notice that they must bring their op…

INVESTMENT | March 30 2021 01:54PM
Regulator publishes 2021 compliance priorities

The Investment Industry Regulatory Organization of Canada’s report summarizes regulatory developments, trends and steps …

INVESTMENT | March 24 2021 02:46PM
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Regulator sanctions rep for unsuitable recommendations

The Investment Industry Regulatory Organization of Canada has fined a representative $50,000 and will suspend him after …

INVESTMENT | March 19 2021 10:30AM
MFDA publishes 18-month roadmap for building new SRO

The Mutual Fund Dealers Association of Canada’s report aims to help the Canadian Securities Administrators in its review…

INVESTMENT | March 16 2021 05:00PM