News and resources for Canada's top financial advisors
Regulation
Almost $300 million in disputed claims must be resolved before distributions can start
By James Langton |January 22, 2024
2 min read
The intensity of money laundering risk is underappreciated, Routledge says
By Ian Bickis, Canadian Press |January 19, 2024
3 min read
As millions in sanctions remain unpaid, BCSC orders $70,000 to be returned to investors
By James Langton |January 19, 2024
First phase of reforms to take effect Sept. 28
By James Langton |January 18, 2024
1 min read
Regulators seek to codify initial investment restrictions, custody provisions
The Ontario regulator discussed proposed licensing suitability guidance during a webinar on Wednesday
By Michelle Schriver |January 17, 2024
The SEC sanctioned the firm for violating whistleblower protections
By James Langton |January 16, 2024
Regulators allege Axia Project misled investors with unregistered offering
By James Langton |January 12, 2024
Self-regulatory organization proposes new settlement obligation and expanded guidance
By James Langton |January 11, 2024
Move aims to reduce the burden of printing and mailing disclosures to investors
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