The Investment Industry Regulatory Organization of Canada (IIROC) is the latest regulatory body preparing to give firms temporary relief in a range of areas ...

Toronto – In light of recent COVID-19 developments and their impact on market participants, the Canadian Securities Administrators (CSA) will provide tempora...

Calgary and Montreal – The Canadian Securities Administrators (CSA) is encouraging investors to properly research investment opportunities and stay ahead of ...

Less than 10% of investor losses have been recovered The British Columbia Securities Commission (BCSC) has ordered that the funds recovered in a fraudulent i...

GMP Capital says it would consider acquisitions of “like-minded” IIROC-member businesses Toronto-based Richardson GMP is changing its name to Richardson Weal...

A proposed class action against TD Asset Management Inc. (TDAM) over trailer fees paid to discount brokers has been given the go-ahead by an Ontario court.Ju...

The time-worn saying “Nothing is certain but death and taxes" is only half true for a savvy American taxpayer who is planning the sale of an investment or bu...

IIROC’s findings of industry misconduct require a stronger response The securities industry is quick to congratulate itself and promote the “value added” to ...

A new paper envisions a single SRO, with the CSA taking responsibility for market regulation This story was updated on Feb. 4, 2020, to include comments from...

The Ontario Securities Commission (OSC) has reached a $3.5-million settlement agreement with BDO Canada LLP for BDO’s substandard audits of two investment fu...

A new year brings new investment options, but the Alberta Securities Commission (ASC) is warning investors to be wary of opportunities that may be “too good ...

The proposal would expand the definition of accredited investor The U.S. Securities and Exchange Commission (SEC) voted to expand the definition of accredite...

Ontario is considering alternatives to a DSC ban, but will join the CSA in outlawing trailers for discount brokers Ontario will remain a holdout, but the res...

The former rep borrowed more than $100,000 from clients A veteran mutual fund rep has been fined $100,000 and permanently banned after a disciplinary panel f...

A British Columbia court has granted leave to appeal enforcement decisions by the British Columbia Securities Commission (BCSC) on the question of whether th...

Stay tuned on deferred sales charges (DSCs) — that’s the message to the investment industry from the Ontario Securities Commission (OSC). Speaking at the reg...

Ontario’s fall economic statement includes a commitment to establish a securities modernization task force, in light of the fact that the Securities Act has ...

Toronto – Securities regulatory authorities in Ontario, British Columbia, Quebec, New Brunswick, Saskatchewan, Manitoba and Nova Scotia (the participating ju...

SRO recommends asking clients for a trusted contact person, putting temporary holds on suspicious transactions As the average life expectancy continues to ri...

The reforms represent the most extensive amendments to the province’s securities laws since the legislation was introduced in 1996 The government of British ...