Industry

CFRs, crypto, online advice top OSC’s compliance agenda

Annual report from OSC compliance branch signals exam targets for the year ahead

By James Langton |August 10, 2021

2 min read

Industry

CI Financial acquires $3.4-billion Ohio-based RIA

The firm also announced earnings results for second quarter of 2021

By Rudy Mezzetta |August 10, 2021

2 min read

Industry

New Brunswick looks at regulating advisor titles

FCNB launches consultation to address investor confusion surrounding industry titles

By James Langton |August 10, 2021

2 min read

Industry

AMF shuts down crypto charity scheme

Regulator secures orders against crypto promoters

By Staff |August 9, 2021

1 min read

Industry

SEC commissioner decries poor guidance, enforcement in crypto space

A popular trading platform has settled allegations that it violated rules as an unregistered exchange

By James Langton |August 9, 2021

3 min read

Industry

Court approves Bridging Finance sale process

PwC will hold a two-stage sale for the fund manager and its assets

By James Langton |August 9, 2021

2 min read

Industry

Blackstone REIT to buy WPT Industrial REIT in deal worth US$3.1B including debt

The sale is expected to close in the fourth quarter of this year

By The Canadian Press |August 9, 2021

1 min read

Industry

Greg Walker joins BMO ETF team

The veteran of RBC and Vanguard has extensive fixed income experience

By Staff |August 9, 2021

1 min read

Industry

SEC approves Nasdaq’s plan to require board diversity

Companies that don’t meet diversity criteria must explain why they couldn’t comply

By Alexandra Olson |August 6, 2021

3 min read

Industry

SEC orders US$13M in disgorgement, penalties in first decentralized finance case

Two men from Florida agreed to the penalties without admitting or denying the charges

By Staff |August 6, 2021

2 min read

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