Regulation

What to expect when filing on ComSet What to expect when filing on ComSet

Regulation

What to expect when filing on ComSet

CIRO issues new guidance on complaint filing requirements

By James Langton |October 6, 2025

2 min read

Fraudsman banned by ASC Fraudsman banned by ASC

Regulation

Fraudsman banned by ASC

Man convicted of defrauding investors of $2.97 million hit with market ban

By James Langton |October 3, 2025

3 min read

Firms falling short on KYC, suitability: BCSC Firms falling short on KYC, suitability: BCSC

Regulation

Firms falling short on KYC, suitability: BCSC

Regulator issues report card on Client Focused Reforms compliance

By James Langton |October 1, 2025

2 min read

Treat clients fairly during postal strike: FSRA Treat clients fairly during postal strike: FSRA

Industry News

Treat clients fairly during postal strike: FSRA

Regulator reminds industry to use alternate communications during disruption

By James Langton |September 29, 2025

1 min read