Industry News

Industry

Heather Zordel resigns as chair of Ontario Securities Commission

Zordel was the first chair of the provincial securities regulator under its new structure

By The Canadian Press |October 25, 2022

1 min read

Industry

OSC tests out education, experience exemption

The pilot program expands accredited investor exemptions beyond financial metrics

By James Langton |October 25, 2022

2 min read

Industry

FCA proposes anti-greenwashing rules

The proposals would restrict the use of "green" terms and set disclosure rules

By James Langton |October 25, 2022

1 min read

Industry

OSC, SEC settle with pot company

Regulators resolve accounting irregularity case with dually listed firm

By James Langton |October 25, 2022

2 min read

Industry

Court-appointed counsel says there’s no legal basis to treat Bridging investors differently

A hearing next month will examine whether certain investors are entitled to priority claims

By James Langton |October 24, 2022

2 min read

Industry

FINRA launches high-tech rulebook

Initiative aims to streamline compliance, facilitate automation

By James Langton |October 21, 2022

1 min read

Industry

Industry moves this week

Leadership veterans joining the IIAC's group of advisors include big hitters like Rick Annaert, Steve Donald and Steve Geist

By Katie Keir |October 21, 2022

2 min read

Industry

Advisor recruitment evolves to suit client needs

More firms are also emphasizing training

By Todd Humber |October 21, 2022

4 min read

Industry

OSC asks tribunal to approve settlement with cannabis company, former CFO

The company failed to file accurate financial statements, the regulator alleges

October 21, 2022

2 min read

Industry

Consumer groups call for action on ombudservice

Binding authority, single banking complaint body demanded

By James Langton |October 20, 2022

2 min read

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