Industry News

Marketing company gets first-ever penalty for deficient advertorial disclosure

Marketing company gets first-ever penalty for deficient advertorial disclosure

BCSC sanctions offside online influencing

By James Langton |July 27, 2023

3 min read

Decorative pattern

Canadians not overly eager to see central bank digital currencies

Only about one-third of Canadians said they would use CBDCs, according to a CFA Institute survey

By Maddie Johnson |July 26, 2023

3 min read

SEC targets conflicts in AI

SEC targets conflicts in AI

Proposed rules would require firms to identify and combat conflicts built into technologies

By James Langton |July 26, 2023

2 min read

Advisor fined $70K for thousands of pre-signed forms

Advisor fined $70K for thousands of pre-signed forms

Former Scotia Capital rep sanctioned in settlement with CIRO

By James Langton |July 26, 2023

1 min read

Offshore money launderers traffic in Canadian investment accounts, GICs: FINTRAC

Offshore money launderers traffic in Canadian investment accounts, GICs: FINTRAC

Casino closures during the pandemic forced illicit activity into different spaces

By James Langton |July 26, 2023

2 min read

Wellington-Altus president Jordy Chilcott leaving firm

Wellington-Altus president Jordy Chilcott leaving firm

His departure, effective July 31, has kickstarted other executive shifts

By Katie Keir |July 26, 2023

2 min read

IOSCO endorses ISSB standards, setting stage for consistent global climate reporting

IOSCO endorses ISSB standards, setting stage for consistent global climate reporting

The organization is calling on regulators around the world to consider adopting the standards

By James Langton |July 25, 2023

2 min read

Fraud is widespread, but rarely reported to police

Fraud is widespread, but rarely reported to police

Statistics Canada data shows the average loss from fraud was about $5,000

By Staff |July 24, 2023

1 min read

CIRO fines firm for retail compliance violations

CIRO fines firm for retail compliance violations

Firm admitted to serving retail investors before SRO approvals, systems in place

By James Langton |July 24, 2023

2 min read

Progress slow for women’s representation in advice channel, report finds

Progress slow for women’s representation in advice channel, report finds

A surge in female branch managers could help address industry stigma

By Staff |July 24, 2023

2 min read

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