Compliance

Are you smarter than a day trader? Are you smarter than a day trader?

Industry

Are you smarter than a day trader?

Proposed exemption would allow non-accredited investors to self-certify their sophistication

By James Langton |November 20, 2020

2 min read

More controls needed to prevent insider trading, tipping, says IIROC Fallback Image Decorative pattern

Industry

More controls needed to prevent insider trading, tipping, says IIROC

Protecting material non-public information is paramount when staff work remotely

By James Langton |November 19, 2020

2 min read

Choosing funds for clients? Get ready to show your work Fallback Image Decorative pattern

Industry

Choosing funds for clients? Get ready to show your work

Beginning next year, the CFRs will require you to demonstrate that you’ve considered a “reasonable range of alternatives”

By Greg Dalgetty |October 9, 2020

3 min read

OSC, IIROC call for tips on abusive shorts Fallback Image Decorative pattern

Industry

OSC, IIROC call for tips on abusive shorts

Regulators seek whistleblower tips on short selling ahead of new offerings

By James Langton |October 1, 2020

1 min read