The Ontario Securities Commission announced that it is considering settlement agreements with both the RBC and with the …

Firms may be required to hire a consultant as a result of regulatory action by CSA staff, a director’s decision or by or…

IIROC published its new, plain language Dealer Member Rules this morning, along with other form revisions and amendments…

The Financial Consumer Agency of Canada (FCAC) is warning Canadians to beware of unsolicited calls asking for personal a…

The Ontario Securities Commission (OSC) today published a research report identifying “behaviourally-informed tactics” f…

The Investment Funds Institute of Canada is moving ahead with its second phase of research into financial disclosure, ex…

The Mutual Fund Dealers Association of Canada is asking for input from stakeholders on whether it should continue to dir…