Regulation

B.C. court certifies vacation pay class action

B.C. court certifies vacation pay class action

Lawsuits seeks damages for certain BMO advisors

By James Langton |March 20, 2024

2 min read

Ban, fine of $300K follow repeat episode of unapproved OBA

Ban, fine of $300K follow repeat episode of unapproved OBA

Rep called out after strike two

By James Langton |March 19, 2024

2 min read

Rep fell for fraud scheme, sanctioned by SRO

Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

By James Langton |March 19, 2024

3 min read

FINRA settles first finfluencer case

FINRA settles first finfluencer case

SRO alleges a firm failed to approve finfluencers' posts

By James Langton |March 19, 2024

2 min read

China fines Evergrande and bans chairman for life

China fines Evergrande and bans chairman for life

Regulators are striving to reassure investors after Chinese markets slumped in the past year

By Elaine Kurtenbach, The Associated Press |March 19, 2024

3 min read

Lawsuit filed against SEC for scaled-back climate rules

Lawsuit filed against SEC for scaled-back climate rules

Environmental organizations say U.S. regulator succumbed to industry pressure

By Staff |March 14, 2024

2 min read

Letter: Financial advisors have no recourse when they disagree with their firms

Letter: Financial advisors have no recourse when they disagree with their firms

Nothing is being done to stop firms from censoring advisors, writes John De Goey

By John De Goey |March 13, 2024

2 min read

CFRs, CE and cybersecurity among CIRO’s priorities

CFRs, CE and cybersecurity among CIRO’s priorities

The SRO also updated its exam timeline for mutual fund dealers

By Melissa Shin |March 13, 2024

3 min read

Decorative pattern

OEO dealer fined $2 million for violating CIRO rules

Firm offered recommendations in contravention of its registration as an order-execution-only dealer

By Staff |March 12, 2024

2 min read

CIRO panel sanctions rep who acted as client’s PoA, executor

CIRO panel sanctions rep who acted as client’s PoA, executor

Serving as a client's executor totally incompatible with rep's role, panel says

By James Langton |March 8, 2024

2 min read

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