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Institute for Advanced Financial Education recognized as a third-party accreditor

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

INVESTMENT | May 17 2022 10:40AM
CSA proposes board members, publishes applications for recognition of new SRO

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

INVESTMENT | May 16 2022 09:04AM
Regulators publish Self-Regulatory Organizations oversight report

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

LIFE INSURANCE | April 29 2022 04:40PM
Regulators propose enhanced disclosure framework for segregated fund contracts

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

LIFE INSURANCE | April 29 2022 10:08AM
New Quadrus president actively integrating Excel

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

INVESTMENT | April 25 2022 10:10AM
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Advisor suspended after receiving an off-book payment

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

SOCIETY | April 14 2022 05:21PM
Regulator fines CIBC World Markets $150,000

IIROC sanctioned the company for trading supervision failures.

SOCIETY | April 13 2022 10:12AM