Regulators

Canada's securities regulators to give retail investors a stronger voice

Louis Morisset, CSA chair and president and CEO of the AMF, says investor advisory panel will help address 'natural barriers'

Canada's securities regulators to give retail investors a stronger voice

MFDA fines Quadrus six-figure sum for non-compliant incentive practices

Regulator uncovers more than 15-year failure to establish adequate system of controls to ensure adherence to securities law

MFDA fines Quadrus six-figure sum for non-compliant incentive practices

IIROC announces new board director

Newly named director brings over 35 years of industry experience, also serves on various other boards

IIROC announces new board director

OSC opens TestLab for KYC-, KYP-focused solutions

New innovation office calls for solutions to help registrants share product information and enhance client information

OSC opens TestLab for KYC-, KYP-focused solutions

Ex-fund rep fined for secret dealings with clients

Ex-dealing rep paid for leveraged investments he'd recommended, and borrowed $110,000 from a senior

Ex-fund rep fined for secret dealings with clients

Expect new Canadian SRO next year, says CSA

CEO and board of new self-regulator to be announced in Q2, with new organization and investor protection fund by end of 2022

Expect new Canadian SRO next year, says CSA