investor protection

Court denies broker injunction against insurer Court denies broker injunction against insurer

Regulation

Court denies broker injunction against insurer

Preventing communication with clients could harm regulatory compliance

By James Langton |January 8, 2026

3 min read

Court approves CIBC trailer fee settlement Court approves CIBC trailer fee settlement

Regulation

Court approves CIBC trailer fee settlement

Class action brought on behalf of full-service clients with funds that paid trailers

By James Langton |January 7, 2026

3 min read

Advisor title regulation in effect for New Brunswick Advisor title regulation in effect for New Brunswick

Industry

Advisor title regulation in effect for New Brunswick

Credential requirements are being phased in over the next few years

By James Langton |January 6, 2026

2 min read

SEC sanctions Canadian over pump-and-dumps SEC sanctions Canadian over pump-and-dumps

Regulation

SEC sanctions Canadian over pump-and-dumps

Accountant allegedly found assets used to lure investors to schemes

By James Langton |December 19, 2025

2 min read