News and resources for Canada's top financial advisors
Est. 1998
Regulation
The SEC sanctioned the firm for violating whistleblower protections
By James Langton |January 16, 2024
2 min read
Regulators allege Axia Project misled investors with unregistered offering
By James Langton |January 12, 2024
Self-regulatory organization proposes new settlement obligation and expanded guidance
By James Langton |January 11, 2024
Move aims to reduce the burden of printing and mailing disclosures to investors
The SEC said it is finishing the approval of 10 exchange-traded funds for bitcoin
By Ken Sweet, The Associated Press |January 10, 2024
4 min read
Gary Gensler says SEC's account on X was hacked
3 min read
New measures address the use of DSCs with existing contracts
By James Langton |January 9, 2024
Banks not backing up their claims with data, says securities complaint filed with OSC and AMF
By Ian Bickis, Canadian Press |January 9, 2024
Relaxing mortgage rules could help borrowers but also boost credit risks
By James Langton |January 8, 2024
1 min read
Rep recruited tenant as a client without firm's permission
By James Langton |January 4, 2024
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