Compliance

Industry

CRM2 isn’t Y2K – it’s real

CRM2: four characters that, even at this late date, strike fear into the hearts of compliance officers.

April 28, 2016

3 min read

Industry

CSA reports significant increase in fines for 2015

01 CSA’s 2015 enforcement report CSA’s 2015 enforcement report, published in February, reveals actions resulting in more than $138 million in fines and administrative penalties—more than double the 2014 amount (about $58 million), and almost quadruple the 2013 amount (about $35 million). Illegal distributions continue to be the most common category (50% of concluded cases […]

April 8, 2016

6 min read

Industry

IIROC wants court authority to collect fines

01 IIROC ups ante on collecting fines IIROC has a poor record of collecting fines from individuals, but that could soon change. In remarks made to the Ontario Standing Committee on Finance and Economic Affairs in early February, IIROC president and CEO Andrew Kriegler made his case for new enforcement powers in Ontario. “We are […]

March 18, 2016

6 min read