CSA revises proposed rules.

Sanctioned and ordered to pay $20,000 to charity by her firm, registered rep also ordered to pay monetary sanctions to r…

An IIROC Hearing Panel has imposed a fine of $125,000, disgorgement in the amount of $579,000 and a permanent ban on one…

Legal authority to collect fines now at regulator’s disposal in all provinces and territories.

Although the client asked not to be bothered with every trade, the representative failed to obtain written authorization…

Canadian Securities Administrators focus on investor protection in 2022-2025 priorities.

Response to regulators says 45-day consultation period insufficient for providing comments on several important issues, …