Regulation

ASC issues permanent ban on man who promoted fake legal services startup

Alberta man stole more than $500,000 from vulnerable investors

By Staff |December 13, 2024

2 min read

Regulation

BCSC steps up fight against misleading investors

Regulator issues guidance on broader protections against misinformation

By James Langton |December 13, 2024

2 min read

Regulation

CIRO asks for industry comments on OEO dealers serving DIY clients

Regulator is seeking to ‘get ahead of and respond to changes in how Canadians invest’

By James Langton |December 13, 2024

3 min read

Regulation

CIRO to match SEC on trading increments

Proposed reforms would harmonize requirements for inter-listed securities

By James Langton |December 12, 2024

2 min read

Regulation

Issuer sanctioned by OSC for misleading disclosure

Firm failed to question numerous red flags about purported billion-dollar contracts, according to OSC settlement

By James Langton |December 12, 2024

3 min read

Regulation

Former TD employee in U.S. charged for money laundering

Florida-based worker allegedly facilitated laundering of drug proceeds in Colombia

By James Langton and The Canadian Press |December 11, 2024

2 min read

Regulation

Ontario court approves trailer fee class action deal

TDAM to pay $70.25 million to settle class action over the payment of trailers to discount brokers

By James Langton |December 11, 2024

3 min read

Regulation

FINTRAC fines bank for compliance violations

Agency uncovered transaction reporting failures in compliance review

By James Langton |December 11, 2024

1 min read

Regulation

Research finds paying whistleblowers works

Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

By James Langton |December 11, 2024

3 min read

Regulation

Review finds crypto firms sloppy with KYC too

OSC sweep uncovered issues with firms' account opening, client limits

By James Langton |December 10, 2024

3 min read

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