CSA announced the dates for roundtables to further explore in its regulatory proposals. The discussions will be on CSA consultation paper 33-404, Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients. It aims for new principles for registrants, controversially proposing that they generally “act in the best interests of the client,” […]
IPC Securities Corporation admitted that it failed to conduct strict supervision of a Registered Representative pursuant to an acknowledgement and consent provided to IIROC.
The "most important part" of the the CSA's best interest regulatory reforms is how advisors deal with conflicts of interest, says Andrew Kriegler.
He's almost done serving a one-month trading suspension.
In its annual report, OSC says collections of monetary sanctions improved in 2016. Find out why.
A British Columbia Securities Commission panel has issued financial sanctions and market bans against Thomas Arthur Williams and his group of companies for fraud and illegal distributions.
Find out why Eric Ben-Artzi, a former Deutsche Bank risk officer, has refused his whistleblower payout.
The FPSC has created a new independent panel to oversee its financial planning standards.
The OSC has approved a no-contest settlement with Scotia Capital, Scotia Securities and HollisWealth Advisory Services.
The Mutual Fund Dealers Association of Canada commenced a disciplinary proceeding in respect of Jeffrey D. Mushaluk by Notice of Hearing dated January 11, 2016.