Compliance

Industry

Advisor or adviser? It’s not that simple

The real story behind the advisor-adviser debate

By Melissa Shin and Katie Keir |June 1, 2017

9 min read

Industry

Forgery “widespread” in investment industry: SIPA

Organization calls for government action

By Staff |May 31, 2017

1 min read

Industry

Stop using pre-signed forms, pleads MFDA enforcement report

Signature falsification cases continue to rise

By Staff |May 29, 2017

2 min read

Industry

OSC sets roundtable date for derivatives code

The OSC has announced the agenda and list of panelists for an upcoming roundtable to discuss CSA’s proposed investor protection regime for over-the-counter derivatives markets. The roundtable will take place on May 29 from 9 a.m. to 12 p.m. on the 22nd floor of the OSC’s offices, 20 Queen St. West, Toronto. The discussion will […]

By Staff |May 23, 2017

1 min read

BCSC permanently bans Vancouver man, fines him $125,000

The BCSC has fined a Vancouver man $125,000 and permanently banned him from securities trading after he and his company redirected an investor’s money into his own accounts. The BCSC found that Brendan Schouw accepted $1 million from an investor, redirected some of the funds into his own account, and spent about $75,000 of it […]

By Staff |May 18, 2017

2 min read

IIROC proposes using client identifiers

IIROC has launched a consultation on using client identifiers, bringing Canada’s rules in line with requirements in the United States and the EU. The goal, according to the self-regulatory group for investment dealers, is to enhance market integrity, protect investors and address electronic trading risks “while minimizing impact on the investment industry.” The consultation will […]

By Staff |May 18, 2017

2 min read

Alberta tables bill for beefed up IIROC, MFDA powers

The Alberta government has introduced legislation to beef up IIROC and MFDA enforcement, putting the self-regulatory groups on the same footing as the Alberta Securities Commission. Bill 13, introduced on Monday, would amend the provincial Securities Act so that IIROC and the MFDA would have the power to compel evidence during investigations and attendance at […]

By Staff |May 9, 2017

1 min read

Compliance

Advisor or adviser? It’s not that simple

Forgery “widespread” in investment industry: SIPA

Stop using pre-signed forms, pleads MFDA enforcement report

OSC sets roundtable date for derivatives code

OSC’s priorities provide clues to enforcement

BCSC permanently bans Vancouver man, fines him $125,000

IIROC proposes using client identifiers

IIROC shouldn’t have court authority to collect fines: lawyer

ASC sweep of EMDs results in firm termination

Alberta tables bill for beefed up IIROC, MFDA powers