Regulation

TD fined US$3.09B as bank pleads guilty to U.S. charges related to money laundering TD fined US$3.09B as bank pleads guilty to U.S. charges related to money laundering

Regulation

TD fined US$3.09B as bank pleads guilty to U.S. charges related to money laundering

Non-financial sanctions put limits on the bank's growth in the U.S.

By Sammy Hudes, The Canadian Press |October 10, 2024

3 min read

Brokerage sanctioned for gatekeeper failures Brokerage sanctioned for gatekeeper failures

Regulation

Brokerage sanctioned for gatekeeper failures

CIRO settles with firm over failure to question suspicious trading activity

By James Langton |October 10, 2024

2 min read

TD agrees to settle trailer fee class action TD agrees to settle trailer fee class action

Regulation

TD agrees to settle trailer fee class action

Claim alleged investors were harmed by mutual funds paying trailers to discount brokers

By James Langton |October 9, 2024

2 min read

OSC sketches its sustainable finance future OSC sketches its sustainable finance future

Regulation

OSC sketches its sustainable finance future

Regulator to embed ESG considerations into compliance, enforcement work

By James Langton |October 7, 2024

2 min read