The allegations relate to the fraudulent sale of hundreds of millions of dollars of securities in two companies, O24 Pharma PLC and Canadian National TV…
The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk
Agreement aims to facilitate company referrals
Two Assante dealers to pay regulator and reimburse clients for alleged overcharging
The current approach to calculating a minimum fee is unnecessarily complex
In the event the panel accepts the settlement, it will provide written reasons for its decision
Exempt market dealer unable to fix compliance issues
Fees payable under securities, derivatives and insurance legislation will be increasing by 0.82% while increases in certain other fees are linked to inflation
The guidance tackles key aspects of outsourcing to the cloud, including data and systems security, the location of data and data processing, access and audit…
Consultation paper proposing updates to Basel Committee's stress testing principles to incorporate changes in stress testing practices that have occurred in recent years
The Thunder Bay, Ont., advisor raised more than $500,000 from clients off-book
The settlement aims to resolve a series of alleged supervisory shortcomings.
An internal review discovered certain clients were not advised they qualified for lower-fee versions of certain mutual funds
Dealers and advisors must perform their own due diligence before recommending these products to their clients
Two IG affiliates failed to move eligible investors into a cheaper series of certain funds
Taxpayers who believe they are offside the rules would do well to consider whether it makes sense to make use of the program before the…
U.K. regulator issues discussion paper on the development of blockchain technology
The filing of one consolidated report with IIROC is expected to be more efficient for firms
Canadian regulators will continue to monitor developments in Europe
Regulators plan to unveil new reporting framework in 2018
Cryptocurrency contracts for differences identified as an emerging threat
The proposals would bring seg fund disclosure more closely in line with the information clients receive about mutual funds, but with some key differences
Fraudsters are still targeting Canadian investors through these, and other channels, Manitoba regulator warns
Changes will enhance capital raising opportunities for businesses in both provinces
Less investor protection and greater opportunities for fraud and manipulation mean investors should be wary