Regulators

The Capital Markets Tribunal chair exits the Purpose Investments ESG hearing

The OSC sought her recusal over a witness she has known for years

The Capital Markets Tribunal chair exits the Purpose Investments ESG hearing

BC advisor pays $25,000 after leaving widow's home-buying plans out of her file

WFG Securities advisor filled in DSC fee disclosures only after his client had already signed

BC advisor pays $25,000 after leaving widow's home-buying plans out of her file

Canada's taxpayers' watchdog launches CRA complaints investigation

Unclear recourse options are leaving taxpayers without timely resolutions

Canada's taxpayers' watchdog launches CRA complaints investigation

CIRO finds Calgary adviser hid $2 million client loan from dealer

A 30-year registration record offered no protection when disclosure rules came calling

CIRO finds Calgary adviser hid $2 million client loan from dealer

OSC pegs Canada's OTC derivatives market at record $121 trillion

Benchmark shifts and a sweeping data clean-up redraw Canada's derivatives landscape in 2025

OSC pegs Canada's OTC derivatives market at record $121 trillion

Former Sun Life advisor fined $12,500 for staying silent on client fraud

The senior client's $132,000 retirement account was reduced to $156 over six months

Former Sun Life advisor fined $12,500 for staying silent on client fraud