News and resources for Canada's top financial advisors
Regulation
European regulators propose guidance for assessing the fitness of management, large shareholders under new crypto regime
By James Langton |October 20, 2023
2 min read
CSA and CIRO seek feedback on the SEC's market structure proposals
By James Langton |October 19, 2023
Regulators propose revisions to accommodate variety of settlement cycles
1 min read
Proposal aims to address concerns about competitiveness of smaller brokers
By James Langton |October 18, 2023
New guidance signals larger fines, more misconduct admissions
Policymakers move from digital currency design to preparation
Finance also announced measures to tackle bank fees and mortgage relief
By James Langton |October 17, 2023
4 min read
Change to address negative amortization mortgages a positive, Fitch says
The IIROC panel overlooked evidence that a rep borrowed money rather than misappropriating it
By James Langton |October 16, 2023
Regulator's exam division sets compliance priorities for 2024
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