Regulator issues over $300K in fines and costs

The Investment Industry Regulatory Organization of Canada (IIROC) has fined the Mackie Research Capital Corporation (MRC

INVESTMENT | October 21 2019 01:00PM
FSRA releases principles for standardizing guidance

The Financial Services Regulatory Authority (FSRA) of Ontario, the province’s new, independent financial services regula

LIFE INSURANCE | October 21 2019 11:29AM
Regulator fines licensee for missing CE credits

A British Columbia life insurance agent is being fined $1,500 by the Insurance Council of British Columbia (ICoBC) for f

LIFE INSURANCE | October 21 2019 09:30AM
IIROC orders all firms to review liability clauses

The Investment Industry Regulatory Organization of Canada (IIROC) published guidance recently, advising firms to review

INVESTMENT | October 15 2019 01:30PM
Women advancing slowly into top management positions

Although the firms overseen by the Canadian Securities Administrators (CSA) are increasingly setting representation targ

SOCIETY | October 11 2019 12:30PM
Tax lawyer charged with fraud

The Ontario Provincial Police (OPP) Anti-Rackets Branch (ARB) has charged a former tax lawyer with fraud and obstruction

INVESTMENT | October 09 2019 01:52PM
Regulator alleges agent and associate tried to interfere in investigation

The British Columbia Securities Commission (BCSC) alleged on Oct. 8 that a former insurance agent and an associate press

INVESTMENT | October 08 2019 10:38AM