Regulation

Fund dealer exec sentenced for fraud

January 28, 2020 James Langton

U.S. regulators charge advisory firm and fund manager with breaches

January 27, 2020 James Langton

Boosting the industry’s cyber defences

January 27, 2020 James Langton

Accounting firm to pay $3.5 million for substandard audits of Crystal Wealth

January 24, 2020 Greg Dalgetty
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

MFDA sets compliance agenda for 2020

January 23, 2020 James Langton
Business lawyer team. Working together of lawyer in the meeting.

Fraud tipsters help recover investor assets, SEC says

January 23, 2020 James Langton

CSA ready for trading fee rebate study, but only if SEC follows

January 23, 2020 James Langton

Brokerage firm sanctioned for supervisory failures

January 23, 2020 James Langton

Manitoba mortgage rep charged over alleged senior abuse

January 23, 2020 James Langton

FCA to scrutinize advice on retirement

January 21, 2020 James Langton
Two senior ladies hiking in the woods

NASAA names new general counsel

January 21, 2020 James Langton

Maureen Jensen to step down from OSC

January 21, 2020 James Langton