Regulators say existing continuing education requirements will continue once the new SRO made up of the MFDA and IIROC c…

Regulators publish list of proposed board members, along with proposed bylaws, rules, fees, governance structures and it…

The Canadian Securities Administrators has published a staff notice summarizing the CSA’s oversight of the country’s SRO…

The CSA and the CCIR jointly published proposals aimed at enhancing total cost reporting for both investment funds and f…

Tim Prescott's successor is about to wrap up the transfer of Excel Private Wealth clients and is forming his Québec team…

IIROC orders advisor to pay $70,000 fine and a three-year suspension.

IIROC sanctioned the company for trading supervision failures.