Compliance

FINTRAC fines firms for compliance failings FINTRAC fines firms for compliance failings

Regulation

FINTRAC fines firms for compliance failings

Agency sanctions breaches of anti-money laundering rules

By James Langton |February 5, 2026

1 min read

Life agent refused licence, fined for misrepresentation Life agent refused licence, fined for misrepresentation

Regulation

Life agent refused licence, fined for misrepresentation

Insurer reported agent and ended his contract in 2022

By Jonathan Got |February 3, 2026

2 min read

GST/HST on mutual fund trailers comes with compliance costs, audit risk GST/HST on mutual fund trailers comes with compliance costs, audit risk

Tax News

GST/HST on mutual fund trailers comes with compliance costs, audit risk

Firms weigh in on what CRA’s new stance on trailing commissions means for dealers, advisors and fund managers

By Michelle Schriver |January 23, 2026

3 min read

UBS sanctioned in settlement with MX UBS sanctioned in settlement with MX

Regulation

UBS sanctioned in settlement with MX

Firm to pay $220,000 to resolve allegations of several rule breaches

By James Langton |January 20, 2026

2 min read