News and resources for Canada's top financial advisors
Regulation
Firm rejects regulator's allegations, cites political motive for action
By James Langton |September 13, 2023
3 min read
SEC sanctions Stoner Cats creator over NFT sales
Regulators' year in review also detailed crypto oversight, CFR sweep
By Staff |September 7, 2023
2 min read
CEO cites stress, health in decision to resign from post
By James Langton |September 6, 2023
1 min read
Long-running venture took in millions from investors, police allege
By James Langton |September 5, 2023
Firm failed to reveal conflicted fee payments, regulator charged
Industry
Former firm provided reps with improper incentives, regulator alleged
By James Langton |August 25, 2023
Back-office snafu meant clients didn't get discounts on standard fees
New rule sharply narrows prop traders' SRO exemption
By James Langton |August 23, 2023
Former OpenSea product manager sanctioned for scheme
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