Regulators

Saskatchewan hands CIRO authority over dealer, fund-dealer registration

FCAA’s order transfers key registration powers in province’s securities regime

Saskatchewan hands CIRO authority over dealer, fund-dealer registration

How can advisors meet the challenge of a growing cohort of hybrid investors?

A mix of DIY and advised investing is entrenched for a significant group of Canadians

How can advisors meet the challenge of a growing cohort of hybrid investors?

SIMA urges CSA to strengthen OBSI’s binding framework with fairness, uniformity

Calls for harmonized investor redress across Canada as binding decision power evolves

SIMA urges CSA to strengthen OBSI’s binding framework with fairness, uniformity

CIRO elects 12 Board Directors

Leadership is set as regulator balances experience with new perspectives

CIRO elects 12 Board Directors

Former branch manager penalized for unapproved business dealings

Financial professional faces multi-year industry ban

Former branch manager penalized for unapproved business dealings

Financial advisor pleads guilty to $1.8 million fraud

Court documents reveal how one man’s actions devastated those closest to him

Financial advisor pleads guilty to $1.8 million fraud