Regulators

FAIR Canada CEO argues binding OBSI powers are good for industry

Jean-Paul Bureaud outlines his organization’s support for CSA proposal which would see OBSI given wider oversight powers

FAIR Canada CEO argues binding OBSI powers are good for industry

CIRO fines firm and representative $400k over undisclosed offshore control transfer

CIRO says firm failed to act on red flags as offshore entity control shifted without disclosure

CIRO fines firm and representative $400k over undisclosed offshore control transfer

CIRO fines Nanaimo advisor $1 million for defrauding elderly clients

Nearly $6 million misappropriated from five clients before CIRO issued a permanent industry ban

CIRO fines Nanaimo advisor $1 million for defrauding elderly clients

Consumer advocates coalition warns against weakening investor protection

Group says OBSI binding decisions should not face judicial appeals

Consumer advocates coalition warns against weakening investor protection

CIRO bans former advisor after $1.16m in off-book promissory note sales

Panel finds advisor broke Mutual Fund Dealer Rules by misrepresenting investments and falsifying records

CIRO bans former advisor after $1.16m in off-book promissory note sales

'Finfluencer' whacked by regulator over securities law breach

Blogger promoted a number of mining, wellness investments

'Finfluencer' whacked  by regulator over securities law breach