Industry News

Industry

Trailer fee class action gets green light

Fourth case certified involving funds paying trailers to discount brokers

By James Langton |January 30, 2024

2 min read

Regulation

Crypto tokens were securities, settlement says

Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions

By James Langton |January 30, 2024

3 min read

Regulation

SRO panel takes softer line on sanctions

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

By James Langton |January 30, 2024

2 min read

Industry

Investors blindly trust advisors, FAIR Canada finds

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

By James Langton |January 30, 2024

3 min read

Regulation

Banks, insurers falling behind on climate risk

OSFI says financial firms need to pick up the pace on climate impacts

By James Langton |January 29, 2024

2 min read

Industry

Canadian Western Bank plants flag in Toronto’s financial district

Edmonton-based firm looks to draw business-owner clients from the big banks

By Rudy Mezzetta |January 29, 2024

3 min read

Regulation

Rep fined, banned in CIRO settlement

Former rep admitted to misappropriation

By James Langton |January 29, 2024

2 min read

Regulation

How to comply with regulators’ guidance on awards

Canadian insurance regulators have not issued a similar warning

By Melissa Shin |January 26, 2024

4 min read

Regulation

Tribunal trims sanctions against former rep

After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

By James Langton |January 26, 2024

2 min read

Industry News

CFA Institute targets questionable advice from finfluencers

Regulators could create public reports on complaints about finfluencers, Institute recommends

By Jonathan Got |January 26, 2024

3 min read

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