Regulators

IIROC moves forward with client identifier requirements

Pan-Canadian regulator says expanded rules allow for enhanced market monitoring and better investor protection

IIROC moves forward with client identifier requirements

MFDA shines light on performance reporting pitfalls

Report outlines findings and recommendations for members to consider in instances of aberrant returns

MFDA shines light on performance reporting pitfalls

FSRA floats fee structure for title protection

Ontario regulator announces proposed financial professionals fee structure

FSRA floats fee structure for title protection

CSA finalizes measures to protect senior and vulnerable clients

Amendments affecting all registered firms, including IIROC and MFDA registrants, to come into force on December 31

CSA finalizes measures to protect senior and vulnerable clients

Ex-CEO of Bridging Finance seeks order to quash OSC investigation

Former chief executive of beleaguered private lender claims investigators abused process by violating privacy rules

Ex-CEO of Bridging Finance seeks order to quash OSC investigation

Ex-advisor faces $150k fine for excessive trading violations

Former Calgary investment advisor had lost $3 million over five years, and borrowed $95k from a client that was never repaid

Ex-advisor faces $150k fine for excessive trading violations