Regulators

Securities regulators unveil draft climate disclosure requirements

Proposed requirements would put information issuers in line with climate task force requirements and help address costs of reporting

Securities regulators unveil draft climate disclosure requirements

Firm agrees to five-figure settlement over compliance failings

Portfolio manager failed to provide assurances it complied with securities legislation

Firm agrees to five-figure settlement over compliance failings

Ex-advisor banned for paying clients to drop complaints

Former B.C. rep also provided false information regarding value of private shares

Ex-advisor banned for paying clients to drop complaints

Ex-dealing rep sanctioned for lying about client's pension monies

MFDA says former Scotia dealing representative copied client’s signature and caused delay in home purchase

Ex-dealing rep sanctioned for lying about client's pension monies

FSRA taking next steps on title protection

Ontario regulator outlines key deliverables and planned outcomes in enforcing financial planner and financial advisor titles

FSRA taking next steps on title protection

OSC overrules MFDA regulatory panel hearing verdict

Dealing rep who took more than $39,000 from clients should have been fined as well as banned

OSC overrules MFDA regulatory panel hearing verdict