Proposal would harmonize standards throughout Quebec's financial sector
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
A regulatory hearing panel handed down market bans and monetary penalties
A broker failed to mark trades as short based on bad information from the adviser
The regulator is unwinding temporary measures as financial uncertainty subsides
A consultation aims to make the regulator's investigations more transparent
FCNB launches consultation to address investor confusion surrounding industry titles
Two men from Florida agreed to the penalties without admitting or denying the charges
OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years
The Ontario regulator said it will consider adherence to the code when assessing suitability for licensing