Securities regulators issue warning about fake emails

Several registrants have received e-mails that purport to come from Canadian Securities Administrators staff.

INVESTMENT | July 16 2021 12:55PM
Regulators finalize rules requiring collection of trusted contact person information

Advisors will be required to collect the name and contact information of a trusted contact person (TCP) from vulnerable …

SOCIETY | July 16 2021 11:53AM
Excessive trading leads to $150K fine for representative

He also received a 12-month ban.

INVESTMENT | July 08 2021 04:05PM
Regulator publishes 2020-2021 enforcement report

The Investment Industry Regulatory Organization of Canada’s report discusses the new ways enforcement officials are work…

SOCIETY | July 07 2021 01:37PM
Outside business activities end in $75k fine

A representative misled his dealer about outside business activities over the course of several years.

INVESTMENT | June 08 2021 02:17PM
Regulator publishes its 2022 priorities

The Investment Industry Regulatory Organization of Canada’s priorities include advancing investor protection initiatives…

INVESTMENT | May 28 2021 02:38PM
Proposed outside activity reporting rules could present ongoing challenges

The Investment Funds Institute of Canada says some aspects of proposed amendments to CSA rules and related instruments g…

INVESTMENT | May 07 2021 08:52AM