enforcement – Advisor's Edge https://phoenix.advisor.ca The best news source for Canadian financial advisors. Investments, financial markets, insurance, practice management, tax and estate planning Wed, 11 Oct 2023 19:21:41 +0000 en-CA hourly 1 https://wordpress.org/?v=5.9.3 https://phoenix.advisor.ca/wp-content/uploads/sites/5/2018/05/cropped-advisor-ico-32x32.png enforcement – Advisor's Edge https://phoenix.advisor.ca 32 32 Report warns of crypto sector’s inherent investor protection threats https://phoenix.advisor.ca/news/regulation/report-warns-of-crypto-sectors-inherent-investor-protection-threats/ Wed, 11 Oct 2023 19:21:41 +0000 https://www.advisor.ca/?p=231641 ESMA says novel abuses need to be addressed for DeFi sector to grow

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]]> Review of multi-level-marketing MGAs results in enforcement for 65 life agents https://phoenix.advisor.ca/insurance/life/review-of-multi-level-marketing-mgas-results-in-enforcement-for-65-life-agents/ Tue, 03 Oct 2023 19:51:55 +0000 https://www.advisor.ca/?p=231454 The clampdown includes the sale of unsuitable universal life policies

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]]> OSC alleges crypto custody failure https://phoenix.advisor.ca/news/industry-news/osc-alleges-crypto-custody-failure/ Mon, 02 Oct 2023 20:59:49 +0000 https://www.advisor.ca/?p=231400 Regulator says the CoinField platform didn't have adequate assets to satisfy withdrawal requests

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]]> Ponzi perpetrators get permanent trading ban https://phoenix.advisor.ca/news/industry-news/ponzi-perpetrators-get-permanent-trading-ban/ Mon, 02 Oct 2023 20:48:58 +0000 https://www.advisor.ca/?p=231397 Convicted fraudsters banned by Ontario tribunal

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]]> Sustainable finance disclosure still falling short https://phoenix.advisor.ca/news/regulation/sustainable-finance-disclosure-still-falling-short/ Fri, 29 Sep 2023 18:00:47 +0000 https://www.advisor.ca/?p=231336 Firms not disclosing investments' negative ESG impact, Paris alignment

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]]> SEC, CFTC hit delete on firms’ WhatsApp, texting https://phoenix.advisor.ca/news/regulation/sec-cftc-hit-delete-on-firms-whatsapp-texting/ Fri, 29 Sep 2023 16:04:48 +0000 https://www.advisor.ca/?p=231312 Another 10 firms sanctioned for extensive recordkeeping violations

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]]> Crypto company wrong to cancel options, court finds https://phoenix.advisor.ca/news/industry-news/crypto-company-wrong-to-cancel-options-court-finds/ Wed, 20 Sep 2023 21:29:29 +0000 https://www.advisor.ca/?p=230982 Power to award options lies with board, not management

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]]> Ex-broker pleads guilty in crypto fraud case https://phoenix.advisor.ca/news/regulation/ex-broker-pleads-guilty-in-crypto-fraud-case/ Wed, 20 Sep 2023 16:55:56 +0000 https://www.advisor.ca/?p=230953 Clients' assets misappropriated rather than invested, U.S. authorities charged

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]]> SEC alleges Virtu failed to guard client data https://phoenix.advisor.ca/news/regulation/sec-alleges-virtu-failed-to-guard-client-data/ Wed, 13 Sep 2023 21:04:36 +0000 https://www.advisor.ca/?p=230744 Firm rejects regulator's allegations, cites political motive for action

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]]> Dude, where’s my enforcement action? https://phoenix.advisor.ca/news/regulation/dude-wheres-my-enforcement-action/ Wed, 13 Sep 2023 18:28:52 +0000 https://www.advisor.ca/?p=230727 SEC sanctions Stoner Cats creator over NFT sales

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