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

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

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

Along with others, the Portfolio Management Association of Canada (PMAC) has voiced concerns about a proposal to allow mutual fund...

A former mutual fund dealing rep who acted as an executor and trustee for two clients’ estates — and inherited one client’s Air Miles as...

The hearing involved two clients over age 90 sold DSC funds with seven-year redemption schedules The dealer arm of fund industry giant...

The British Columbia Securities Commission (BCSC) has won a victory in a Nevada court this week to enforce a $21.7-million order against...

The Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Securities Administrators (CSA) today published an...

Securities regulators are set to consider a settlement with a former blockchain investment firm and its founder, Alex Tapscott, who are...

The Canadian Securities Administrators (CSA) today set out next steps for a new integrated national information and filing system (the...

A former broker has agreed to a multi-year suspension and a $100,000 fine after admitting to violating securities rules by recommending...

The proposals would harmonize rules with IIROC The Mutual Fund Dealers Association of Canada (MFDA) is proposing rule changes designed to...

A review of dealers’ policies on promotional incentives reveals gaps and shortcomings Mutual fund dealers must step up efforts to prevent...

This notice is intended to clarify when Form 45-106F1 Report of Exempt Distribution (Form 45-106F1) of National Instrument 45-106...

he British Columbia Securities Commission (BCSC) is increasing fees to bolster the commission's ability to carry out its mandate to...

The Executive Director of the British Columbia Securities Commission (BCSC) has temporarily prohibited a group of purported consultants...

The majority of respondents said the proposed fines for minor rule violations were too low and should be raised A majority of Canadian...

Creation of internal group reflects shift in approach toward securities regulation by OSC and the provincial government The Ontario...

The Ombudsman for Banking Services and Investments (OBSI) has announced that the payment deadline of membership fees for fiscal 2019 will...

The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client...