Regulators

New SRO must ‘provide a better investor experience’

CEO says merger will ultimately be judged from client perspective

New SRO must ‘provide a better investor experience’

Does CPH requirement create an unnecessary burden?

Interim rules for new SRO aimed at mutual fund advisors aren't aligned with public concerns, say stakeholders

Does CPH requirement create an unnecessary burden?

Bankruptcy no shield from BCSC sanctions, rules province's top court

B.C. court denies fraudster couple's appeal for relief from multimillion-dollar penalties

Bankruptcy no shield from BCSC sanctions, rules province's top court

Fraudster gets hit with lifetime ban from OSC

Former CEO serving five-year sentence admits he lured investors into Ponzi scheme

Fraudster gets hit with lifetime ban from OSC

BCSC scolds BMO for failure to supervise securities transfers

Big Six bank employee guaranteed transfers while failing to verify or record key information and documents

BCSC scolds BMO for failure to supervise securities transfers

Financial giant fined millions for personal device misuse

Regulator slapped rival with similar sanctions over managers' use of social app and personal email

Financial giant fined millions for personal device misuse