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
New self-regulatory organization appoints investor advisory panel

Selected in December, panelists tasked with job of conveying investor concerns to regulator.

INVESTMENT | January 20 2023 03:16PM
Financial advisor banned for 30 months and fined $20,000

Advisor penalized after admitting to ‘facilitating stealth advising’.

INVESTMENT | January 06 2023 10:39AM
New self-regulatory organization launches officially

Investor protection funds also merge.

INVESTMENT | January 04 2023 10:38AM
Regulator fines CIBC World Markets

Billing errors between 2014 and 2021 refunded to clients and self-reported to enforcement staff.

INVESTMENT | December 26 2022 09:33AM
Ontario regulator extends timeline to obtain credentials

Title protection framework work focused on approving credentialing bodies

INVESTMENT | December 22 2022 03:05PM
Rep sanctioned after more than 3,000 pre-signed forms recovered

Representative personally signed 503 forms seized in internal investigation.

INVESTMENT | December 22 2022 10:38AM