Regulators

Have financial benchmark costs gone too far?

Investment associations urge regulators to rein in complexity and steep pricing across market data landscape

Have financial benchmark costs gone too far?

Ex-investment advisor to senior with Alzheimer’s in hot water

Alleged breaches include acting as client’s power of attorney for personal care and having his spouse named as beneficiary to will

Ex-investment advisor to senior with Alzheimer’s in hot water

MFDA wants shorter account transfer timelines

SRO points to technological improvements, automated processes, and standardized forms as possible solutions to delays

MFDA wants shorter account transfer timelines

Former fund rep banned for life for violating father’s trust

MFDA upholds sanctions against ex-dealing rep who deposited funds from redemptions into his own account

Former fund rep banned for life for violating father’s trust

Can new rules protect investors from social media stock manipulation?

Top advisor from Nicola Wealth weighs in on potential impact of proposals from BC’s securities regulator

Can new rules protect investors from social media stock manipulation?

Supporting the investment industry against cyber threats

IIROC's Senior VP of Member Regulation and Strategy highlights continuing efforts to promote cyber security among its members

Supporting the investment industry against cyber threats