conflict of interest

CIRO settles with PFSL over supervisory issues CIRO settles with PFSL over supervisory issues

Regulation

CIRO settles with PFSL over supervisory issues

Reps allegedly took $1 million from an elderly client

By James Langton |April 22, 2026

2 min read

Manitoba regulator upholds CIRO enforcement rulings Manitoba regulator upholds CIRO enforcement rulings

Regulation

Manitoba regulator upholds CIRO enforcement rulings

MSC finds no error with panel's findings against former fund rep

By James Langton |November 28, 2025

2 min read

As family fights, court names independent estate rep As family fights, court names independent estate rep

Regulation

As family fights, court names independent estate rep

Court cites competence, cost certainty in appointing administrator

By James Langton |November 10, 2025

4 min read

OSC review flags personal corporation concerns OSC review flags personal corporation concerns

Regulation

OSC review flags personal corporation concerns

Compliance division's annual report details exam findings at directly regulated firms

By James Langton |July 24, 2025

2 min read