News and resources for Canada's top financial advisors
Regulation
Clients lost more than $1.5 million on rep's failed fintech venture
By James Langton |April 11, 2024
2 min read
BCSC returns nearly $40,000 to investors who lost much more
By James Langton |April 10, 2024
1 min read
Measures follow last year's Credit Suisse banking turmoil
By Jamey Keaten, The Associated Press |April 10, 2024
Settlement includes 20-year market bans, monetary sanctions
By James Langton |April 5, 2024
Firm failed to adequately oversee rep’s risky trading strategy, CIRO says
Regulator suspends firm and agents amid alleged misconduct
Terms of firm’s sale weren’t fully disclosed to regulators
The rule is pending review in the U.S. Court of Appeals for the Eighth Circuit
By Suman Naishadham, The Associated Press |April 5, 2024
Crypto firm to pursue full dealer and ATS registration, plus SRO membership
By James Langton |April 4, 2024
Involvement with crypto amounted to undisclosed outside business activity, personal financial dealings
By James Langton |April 2, 2024
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