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BCSC settles with trio over fund valuation failures
CSA to ban DSCs everywhere but Ontario
Ontario to review Securities Act for first time in 16 years
Canadian securities regulators outline corporate governance disclosure expectations for cannabis iss
Industry seeks clarity on MFDA proposal regarding discretionary trading
Former rep who inherited client’s Air Miles permanently banned
IG settles with MFDA over suitability of DSC sales to elderly clients
BCSC wins in U.S. court to enforce order against fraudster
IIROC and CSA provide update on conflicts of interest arising from soliciting dealer arrangements
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OSC to consider settlement with NextBlock, Tapscott
Canadian securities regulators outline next steps on the development of an integrated information
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Former rep sanctioned for suitability failures
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MFDA seeks changes to its investigative powers
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MFDA warns dealers about conflicts created by fundco promos
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45-325 Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts
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Securities market fee changes to support stronger enforcement and regulatory innovation
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BCSC Executive Director alleges scheme by self-described consultants
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Investors support proposed IIROC enforcement alternatives, survey finds
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OSC launches task force to lighten regulation
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Don’t miss OBSI’s guidelines on membership fees