Regulation

Court upholds $9 million in sanctions, disgorgement Court upholds $9 million in sanctions, disgorgement

Regulation

Court upholds $9 million in sanctions, disgorgement

Appeals of Tribunal’s merits and sanctions decisions rejected

By James Langton |August 30, 2024

2 min read

Court rejects appeals from fund rep, OSC Court rejects appeals from fund rep, OSC

Regulation

Court rejects appeals from fund rep, OSC

Both sides appealed rulings involving rep inheriting client's estate

By James Langton |August 30, 2024

2 min read

CIRO fines Stifel Nicolaus $475K for failing to protect confidential info CIRO fines Stifel Nicolaus $475K for failing to protect confidential info

Regulation

CIRO fines Stifel Nicolaus $475K for failing to protect confidential info

Info was used to enter into short sale transactions without Stifel's knowledge

By Melissa Shin |August 23, 2024

1 min read

Cryptoasset reporting, LICAT guidelines open for consultation Cryptoasset reporting, LICAT guidelines open for consultation

Regulation

Cryptoasset reporting, LICAT guidelines open for consultation

OSFI piloting quarterly guideline publishing

By Jonathan Got |August 22, 2024

2 min read