Industry News

IIAC calls for lower fines in minor contravention program

IIAC calls for lower fines in minor contravention program

In its submission to IIROC, the association also asked for clarity on the rules

By Staff |July 29, 2019

1 min read

Risk ratings change for 9 Invesco funds

Risk ratings change for 9 Invesco funds

The changes to Canadian-domiciled funds are effective immediately

By Staff |July 26, 2019

1 min read

U.S., China see reduction in VC deals

U.S., China see reduction in VC deals

Other countries, including Canada, saw consistent growth

By Staff |July 26, 2019

2 min read

CIBC lowers risk ratings for two funds

CIBC lowers risk ratings for two funds

Renaissance currency and real estate funds are affected

By Staff |July 26, 2019

1 min read

IIROC suspends advisor for trading violations and suitability failures

IIROC suspends advisor for trading violations and suitability failures

The rep must also pay $105K, including fines, disgorgement and costs

By Staff |July 25, 2019

3 min read

Former rep banned for ‘dishonest’ conduct

Former rep banned for ‘dishonest’ conduct

Man used falsified documents to apply for a personal line of credit

By Staff |July 25, 2019

2 min read

CoinLaunch reaches settlement with OSC

CoinLaunch reaches settlement with OSC

Firm engaged in cryptoasset trading without registration

By Staff |July 25, 2019

2 min read

Decorative pattern

New responsible investing site lists products, advisors

RI Marketplace launched Thursday

By Staff |July 25, 2019

1 min read

Decorative pattern

Facebook settles with SEC for US$100 million

The social media giant settles allegations it misled investors

By Staff, with files from The Associated Press |July 24, 2019

2 min read

Alberta recidivist sentenced to two years in jail for fraud

Alberta recidivist sentenced to two years in jail for fraud

He also pleaded guilty to three counts of failing to comply with an ASC order

By Staff |July 24, 2019

1 min read

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