The IIROC published guidance recently, advising firms to review their retail client account agreements and to change or …

Although the firms overseen by the Canadian Securities Administrators are increasingly setting representation targets fo…

The Ontario Provincial Police Anti-Rackets Branch has charged a former tax lawyer with fraud and obstruction of justice.

The British Columbia Securities Commission is alleging that a former insurance agent and an associate pressured an inves…

The Canadian Securities Administrators has moved to ensure that clients’ interests come first, publishing rule amendment…

The Ontario Securities Commission (OSC) is warning investors about Blue Sail Trading and its associated trading platform…

The Ontario Securities Commission has approved settlement agreements with RBC and TD related to compliance failures in t…