Regulators

FAIR Canada backs OSC's DSC proposals

Investor advocate group reiterates past calls for reform, urges changes for better client protection

FAIR Canada backs OSC's DSC proposals

Vanguard Canada backs DSC ban

Investment firm shares comments on CSA initiative, along with supportive findings from other markets

Vanguard Canada backs DSC ban

Richardson GMP fined $500,000 for oversight failures

Firm admits it overlooked wildly unsuitable investment recommendations and unauthorized trades

Richardson GMP fined $500,000 for oversight failures

KYCs can’t be used as a shield, rules IIROC

Halifax advisor found liable for unsuitable recommendations and unapproved trades in clients’ accounts

KYCs can’t be used as a shield, rules IIROC

We're on-course on 2019-2022 business plan, says CSA

Interim report explains how CSA has worked to lighten regulatory burden despite COVID-19 challenges

We're on-course on 2019-2022 business plan, says CSA

IIAC weighs in on protection of senior clients with diminished capacity

Industry group tries to address ‘delicate balance’ between client independence and challenges of diminished mental capacity

IIAC weighs in on protection of senior clients with diminished capacity