News and resources for Canada's top financial advisors
Regulation
Court asked to approve two years worth of fees in ongoing receivership
By James Langton |December 8, 2023
3 min read
Regulator says vulnerabilities are high, but haven’t intensified in recent months
2 min read
Consultation seeks to set rules for financial industry cloud providers
By James Langton |December 7, 2023
The fine is the second announced this week, after RBC was also penalized
By Ian Bickis, Canadian Press |December 7, 2023
Decision on tougher investor protection measures coming by end of 2025
By James Langton |December 6, 2023
Firms to pay US$2.6 million, including US$1 million in client restitution
1 min read
The fine announced Tuesday is the largest ever imposed by FINTRAC
By Jim Bronskill and The Canadian Press |December 5, 2023
CIRO doesn't need an order to use compelled evidence in its own proceedings, regulatory panel says
By James Langton |December 4, 2023
Regulators cite data gaps, lack of standards, pervasive risks as obstacles
AMF alleged that CoinEx ignored regulators' efforts to get crypto firms registered
By James Langton |December 1, 2023
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