Regulation

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

Regulation

Proposed trailer fee class action denied again

Firms were allowed to collect trailers before the CSA ban, court rules

By James Langton |January 26, 2024

2 min read

Regulation

Small firms need living wills: OSC

Regulator calls for continuity plans at one-man shops

By James Langton |January 26, 2024

3 min read

Regulation

Ex-fund rep banned for borrowing from widower

Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged

By James Langton |January 25, 2024

1 min read

Regulation

Global Reporting Initiative revamps biodiversity reporting standard

Revisions aim to enhance corporate transparency to investors, policymakers

By James Langton |January 25, 2024

2 min read

Regulation

SEC tightens the screws on SPACs

New rules beef up disclosure, investor protections around shell company financings

By James Langton |January 24, 2024

2 min read

Regulation

CIRO approved as credentialing body under Ontario title protection

Improved proficiency for financial advisors still on the table amid persistent demand

By Michelle Schriver |January 23, 2024

4 min read

Regulation

Corporate transparency legislation now in force

The new requirements could surprise small businesses that aren't used to making these types of disclosures

By Michael McKiernan |January 23, 2024

3 min read

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