News and resources for Canada's top financial advisors
Regulation
Appeals by advisor, analyst in insider trading case dismissed
By James Langton |March 20, 2024
3 min read
Lawsuits seeks damages for certain BMO advisors
2 min read
Rep called out after strike two
By James Langton |March 19, 2024
Panel orders penalties for disgorgment and deterrence
SRO alleges a firm failed to approve finfluencers' posts
Regulators are striving to reassure investors after Chinese markets slumped in the past year
By Elaine Kurtenbach |March 19, 2024
Environmental organizations say U.S. regulator succumbed to industry pressure
By Staff |March 14, 2024
Nothing is being done to stop firms from censoring advisors, writes John De Goey
By John De Goey |March 13, 2024
The SRO also updated its exam timeline for mutual fund dealers
By Melissa Shin |March 13, 2024
Firm offered recommendations in contravention of its registration as an order-execution-only dealer
By Staff |March 12, 2024
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