Industry News

OBSI adds two consumer-interest directors to board

OBSI adds two consumer-interest directors to board

Governance changes follow consultation and independent review

By Staff |June 26, 2023

2 min read

Fundraisers face $9 million in sanctions

Fundraisers face $9 million in sanctions

Ontario's Capital Markets Tribunal found investor losses weren't intentional, but reckless

By James Langton |June 26, 2023

2 min read

Former life agent fined for client servicing scheme

Former life agent fined for client servicing scheme

FSRA brought similar allegations against the agent earlier this year

By James Langton |June 23, 2023

3 min read

Ontario court sides with OSC on Gong evidence

Ontario court sides with OSC on Gong evidence

Appeal of tribunal ruling premature, court finds

By James Langton |June 23, 2023

3 min read

Decorative pattern

CIRO details suspended firm’s capital troubles

Gravitas Securities suspended after repeated shortfalls, failure to file financials

By James Langton |June 22, 2023

2 min read

IOSCO targets “hidden losses” in issuers’ financials

IOSCO targets “hidden losses” in issuers’ financials

Regulators worried about investors getting timely disclosure of impaired goodwill

By James Langton |June 22, 2023

2 min read

Ex-Goldman banker guilty of insider trading

Ex-Goldman banker guilty of insider trading

SEC data analysis uncovered scheme involving Wall Street banker, trader

By James Langton |June 22, 2023

2 min read

Canadian investors maintain optimism despite knowledge gaps: Survey

Canadian investors maintain optimism despite knowledge gaps: Survey

Many consumers don't understand current market risks

By Maddie Johnson |June 22, 2023

2 min read

OSC’s case against Bridging execs gets the go-ahead

OSC’s case against Bridging execs gets the go-ahead

Tribunal rules Sharpes failed to make the case for a stay, hearing starts June 26

By James Langton |June 22, 2023

3 min read

Mutual fund, ETF assets down in May: IFIC

Mutual fund, ETF assets down in May: IFIC

ETF sales climb, but mutual funds remain in net redemptions

By James Langton |June 22, 2023

2 min read

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