Outside activities, accepting monies from issuer leads to $20,000 fine

Regulator also orders commission disgorgement of $35,500.

INVESTMENT | August 11 2023 10:09AM
Serving clients without regulatory approval or adequate controls costs firm $100,000

Red Cloud Securities also ordered to disgorge more than $611,306 in commissions.

LIFE INSURANCE | July 25 2023 03:35PM
Regulator amends rules allowing margin-eligible structured products

Stakeholders invited to comment on changes before September 18.

INVESTMENT | July 24 2023 10:00AM
Regulator publishes proposed proficiency model for approved persons

New model discontinues some mandatory training and introduces new requirements.

SOCIETY | July 12 2023 10:00AM
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
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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