Regulators

All systems go for New SRO

CSA publishes notices recognizing single self-regulatory organization on January 1

All systems go for New SRO

MFDA issues six-figure fine for WealthSimple affiliate

Self-regulatory organization finds firm failed to ensure client information confidentiality during onboarding process

MFDA issues six-figure fine for WealthSimple affiliate

Victoria man admits to misappropriating investors’ funds

Court orders thousands in restitution for victims in real estate investment transactions

Victoria man admits to misappropriating investors’ funds

Lifetime ban for advisor that pushed leveraged investments

MFDA finds former dealing rep submitted inaccurate or falsified information on clients' risk tolerance and net worth

Lifetime ban for advisor that pushed leveraged investments

Why Ontario wants national title protection harmonization… based on its model

Harder to define financial advisor than financial planner, says CEO

Why Ontario wants national title protection harmonization… based on its model

Saskatchewan’s FA title proposal the right path forward, says veteran advisor

Industry veteran says higher bar on professionalism needed to rebuild consumer trust

Saskatchewan’s FA title proposal the right path forward, says veteran advisor