Regulators warn advisors and investors alike about targeted impersonation schemes

Separate communications encourage targets to independently verify unsolicited requests.

INVESTMENT | May 31 2023 10:48AM
Members approve new regulator’s name

Firms have until December 31, 2024 to make all necessary updates.

SOCIETY | April 26 2023 10:51AM
Oversight report published documenting self-regulatory activities in 2022

Canadian Securities Administrators notice also discusses investor protection fund developments.

INVESTMENT | April 21 2023 10:51AM
Regulator publishes compliance report for dealers

Summary includes current issues and compliance challenges regulated dealers should focus on.

INVESTMENT | March 22 2023 04:31PM
Regulator orders nearly $2.5-million in fines and costs for misappropriation

Representative also permanently banned from both registration and future employment.

INVESTMENT | March 07 2023 03:55PM
Regulator levies two fines for discretionary trading and misleading investigators

Liability decision resulted in the end of respondent’s employment in the industry.

INVESTMENT | February 08 2023 03:10PM
New regulator considers returning disgorged funds to harmed investors

Request for comment focuses on eligibility, administration challenges and proposed processes.

INVESTMENT | February 03 2023 10:53AM