Compliance

Advocis to Ontario government: Follow through on advisor title regs Fallback Image Decorative pattern

Industry

Advocis to Ontario government: Follow through on advisor title regs

New survey finds 91% of those polled would support new legislation

By Katie Keir |October 25, 2018

3 min read

Waterloo woman sentenced to jail for securities fraud Fallback Image Decorative pattern

Industry

Waterloo woman sentenced to jail for securities fraud

The two-year sentence also includes $150K in restitution to investors

By Staff |October 19, 2018

1 min read

Reaction to CSA’s proposed referral arrangement rules Fallback Image Decorative pattern

Industry

Reaction to CSA’s proposed referral arrangement rules

Industry's not supportive of the changes

By Staff |October 18, 2018

4 min read

IIROC fines former rep $100,000 for unsuitable investments Fallback Image Decorative pattern

Industry

IIROC fines former rep $100,000 for unsuitable investments

He was also suspended for 18 months

By Staff |October 16, 2018

2 min read