In a settlement with the OSC, he agreed to pay $1.7 million for operating a successful investment club without registration
The commission ordered sanctions against a former MFDA representative who misappropriated client money
Proposed rules aim to address unpaid compensation to harmed investors
Investment in compliance is rising along with what's at stake for asset managers
The industry is formalizing know-your-product processes
ESMA reviews rules amid rise of meme stocks, robos and digital disclosure
The client lost $1.3 million to risky trading that generated $232,000 in commissions
The crypto trading platform is one of the first to be both regulated and publicly traded
The bank was fined $400,000 after it overcharged seniors $31 million
The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3