CIRO seeks stiffer enforcement sanctions
SRO proposes doubling maximum fines, toughening suspensions
- By: James Langton
- April 18, 2024 April 18, 2024
- 18:08
SRO proposes doubling maximum fines, toughening suspensions
Regulators to boost fee transparency, explore enhanced retail access
Ontario court allows bid for judicial review of enforcement practices
Claim asks for $1.2 million in damages arising from dispute over regulator-approved credentials for title protection
TD working to fix anti-money laundering program, exec says
Warning follows revised guidance from the CSA on virtual shareholder meetings
Mortgage borrowing accelerates, while other sources of debt growth slow
Retirees duped by fake investment for almost a decade, SRO finds
New instrument aims to fill a void created as CDOR is retired
Qualified investments review could lead to lower costs for investors but also restrictions
The federal budget is being met with disdain from Canada's innovation industry
Treasury secretary tells meetings of the International Monetary Fund and World Bank of the importance of using economic tools to counter malignant activity
FSB proposes series of recommendations for addressing liquidity issues
Precious metals action calms, while Dow Jones tops 50K
Report calls for action on data gaps, surveillance, leverage
Trade deficit remains unchanged amid shifting tariff policy, Fitch reports
Trust account used in fraud, misappropriation, Law Society finds
Policy failed to cover hedge fund investment that turned out to be a fraud
Firm allegedly touted stocks on social media, while selling its holdings
The honours will be presented Feb. 12, at the association's Embrace the Challenge event
Start with flexibility, tax efficiency, simplicity
Brokers, MGAs, software providers and TPAs set to evolve
Plus, moves at Our Family Office, Harvest ETFs, Manulife Wealth, Canada Life and more
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, National Bank changes diversified equity fund
Net monthly ETF inflows reach $22B in January: report
Plus, other firms launch new products, tweak their fund lineups