investor protection

Industry

Capital Markets Tribunal rejects Binance’s bid to get OSC inquiry halted

Tribunal finds it has no say in regulator's investigations

By James Langton |July 18, 2023

2 min read

Industry

Ruling protects accredited investors’ privacy

OSC decision to deny access to investors’ identities upheld

By James Langton |July 7, 2023

3 min read

Industry

Former life agent fined for client servicing scheme

FSRA brought similar allegations against the agent earlier this year

By James Langton |June 23, 2023

3 min read

Industry

CIRO details suspended firm’s capital troubles

Gravitas Securities suspended after repeated shortfalls, failure to file financials

By James Langton |June 22, 2023

2 min read

Industry

IOSCO targets “hidden losses” in issuers’ financials

Regulators worried about investors getting timely disclosure of impaired goodwill

By James Langton |June 22, 2023

2 min read

Industry

OSC’s case against Bridging execs gets the go-ahead

Tribunal rules Sharpes failed to make the case for a stay, hearing starts June 26

By James Langton |June 22, 2023

3 min read

Industry

New Brunswick passes title protection legislation

Like Ontario and Saskatchewan, the province will restrict use of "financial planner" and "financial advisor"

By Staff |June 19, 2023

2 min read

Industry

ESMA examines impact of sustainable suitability rules

Review to look at results of efforts to add sustainability factors to suitability, product governance requirements

By James Langton |June 16, 2023

1 min read

Industry

IOSCO, FSB consider fund liquidity risk reforms

Regulators seek to address liquidity issues that arose amid the pandemic

By James Langton |June 16, 2023

2 min read

Industry

Sam Bankman Fried could face 2 criminal trials, with prosecution on some charges delayed until 2024

Newer charges need approval from Bahamian authorities before proceeding in U.S.

By Larry Neumeister, The Associated Press |June 16, 2023

3 min read

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