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Tribunal orders $500,000 fine and $85,000 in costs for undisclosed conflict of interest

Mutual fund sales representative named the sole beneficiary of a vulnerable client’s estate.

INVESTMENT | March 07 2023 10:50AM
Regulator produces webinars on becoming a public company

Ontario small and medium enterprises invited to attend free series.

ENTREPRENEURSHIP | January 17 2023 02:34PM
Former Manulife chief counsel joins association advisory board

Martin Guest also currently serving a two-year term with the Financial Services Tribunal.

INVESTMENT | January 17 2023 09:22AM
Ontario regulator extends timeline to obtain credentials

Title protection framework work focused on approving credentialing bodies

INVESTMENT | December 22 2022 03:05PM
Ontario Securities Commission examines exempt market activity

Amount of capital raised through prospectus exemptions doubles from pre-pandemic highs.

INVESTMENT | December 13 2022 10:43AM
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Technology: Imperative for financial planners to become “agents of change”

Financial planners can either be a driver or a passenger on the road to future development of the tech industry, a confe…

INVESTMENT | November 28 2022 10:48AM
Regulator draws attention to gamification techniques used to influence retail investors

Trial examines the impact behavioural techniques have when used in digital trading environments.

SOCIETY | November 24 2022 02:22PM