Regulation

CSA proposes rule regarding non-GAAP and other financial measures

September 6, 2018 James Langton

MFDA bans former Scotia Securities rep

September 6, 2018 James Langton

FCA introduces advisor reassessment test

September 5, 2018 James Langton

Outsourcing should be entered into as introducing/carrying dealer arrangement: MFDA

September 5, 2018 James Langton
outsourcing word on yellow roadsign on blue urban background

Robo-advice growing slowly in Europe

September 5, 2018 James Langton

AMF offers guidance to help companies disclose exposure to modern slavery

September 4, 2018 James Langton

OSC fines former Aston Hill CEO $125,000

August 31, 2018 James Langton

IIROC sets date for annual meeting

August 30, 2018

FAIR Canada seeks clarity on client-focused reforms

August 30, 2018 James Langton

MFDA fines Sentinel Financial

August 29, 2018 James Langton

IIROC fees rising as demands on regulators grow

August 29, 2018 James Langton
Industry

Canadian sentenced to U.S. prison for promoting tax fraud scheme

August 29, 2018 James Langton