News and resources for Canada's top financial advisors
Regulation
The CFA Institute, GSIA and PRI hope their new resource will be adopted by industry and regulators
By Mark Burgess |November 1, 2023
2 min read
Prosecutor cites 'pyramid of deceit' in urging jury to convict FTX founder
By Larry Neumeister, The Associated Press |November 1, 2023
3 min read
SRO examines potential implications of a computing revolution
By James Langton |October 30, 2023
The crypto entrepreneur denied taking customers' funds in much-anticipated testimony
By Larry Neumeister, The Associated Press and Ken Sweet, The Associated Press |October 27, 2023
The court found no errors in the panel's decisions on the merits or sanctions
By James Langton |October 27, 2023
Collections plunge as hefty sanctions are handed out
By James Langton |October 25, 2023
Former executive fined, banned for seven years due to misconduct
By James Langton |October 24, 2023
1 min read
Debit machine scheme involved unregistered securities, regulator alleges
By James Langton |October 23, 2023
New SRO aims to harmonize requirements for fund dealers and investment dealers
By James Langton |October 20, 2023
Legislative changes would cut minimum comment period to 60 days
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