Canada hasn’t yet formed a nationwide indemnity system to protect harmed investors.
The CSA has released more research on mutual fund fees, and plans to reveal its policy direction in the first half of 2016.
SEC has filed fraud charges and obtained asset freezes against a worldwide pyramid scheme.
On September 24, 2015, a three-member hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada heard three separate proceedings.
Advocis wants to do away with MFDA, IIROC, OSC, and FSCO. It's calling for one delegated administrative authority.
The association notes an additional regulator isn't required.
The OSC’s annual summary report for dealers, advisors and fund managers outlines the commission’s latest regulatory and compliance efforts.
IFIC and the IIAC are calling on the Ontario government to enact a general legislative framework for financial planners.
Canadian lawyer and stock promoter John Briner is settling with the SEC on allegations that he orchestrated a mining stock fraud scheme.
Following a penalty hearing held on July 9, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) imposed the following penalties on Bryan Andrew Vickers.