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A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Rep admits to unapproved discretionary trades

Settlement includes disgorgement, penalty and suspension

OSC shines a light on “dark” arts of online investing

Investors face risks from sludge, nudges and other hidden tactics

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Former rep on the hook for recruitment loan

Court rules promissory note between rep and firm is enforceable

client meeting

Investors blindly trust advisors, FAIR Canada finds

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

Letter: Misleading sales pitches impede investor decisions

To be seen as professionals, advisors must be reasonable and transparent, writes John De Goey

Magnifying glass

SEC tightens the screws on SPACs

New rules beef up disclosure, investor protections around shell company financings

Euro trading

Boosting European trading data transparency a plus: Moody’s

Policymakers to implement consolidated tapes, ban payments for order flow

Entrance to Financial Services Regulatory Authority of Ontario

FSRA tightens the screws on seg fund DSCs

New measures address the use of DSCs with existing contracts

HSBC fined over DIY client fee errors

Certain clients overcharged, others undercharged, due to recordkeeping glitch

TD reaches NSF fee class action settlement

Similar cases remain outstanding against the other big banks