Regulators

CSA shutting the door on trailing commissions for OEO dealers

Securities regulators announce final rules to implement a ban aimed at improving investor protections

CSA shutting the door on trailing commissions for OEO dealers

Advisor fined, suspended for mismanaging late mother's accounts

Respondent pursued high-risk investment strategy as mother suffered from declining health and symptoms of dementia

Advisor fined, suspended for mismanaging late mother's accounts

Ex-TD branch manager banned for life

Former dealing rep misappropriated more than $27,000 from two clients and two individuals

Ex-TD branch manager banned for life

Most Canadian investors say 'no' to SRO merger

MFDA poll reveals low public confidence, with majority wanting comprehensive review and stricter government oversight

Most Canadian investors say 'no' to SRO merger

OSC IAP tempers support for Ontario task force proposals

Advisory panel warns some proposed amendments could compromise regulators' ability to ensure investors are protected

OSC IAP tempers support for Ontario task force proposals

Why Ontario capital markets taskforce missed 'key opportunity'

Regulators highlight major omission and warn certain proposals in report will undermine investor protection and reduce efficacy

Why Ontario capital markets taskforce missed 'key opportunity'