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Friday January 24, 2020
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From the Regulators
Brokerage firm sanctioned for supervisory failures
Firm failed to question sales on risky exempt securities to certain clients
January 23, 2020

From the Regulators
CSA ready for trading fee rebate study, but only if SEC follows
Pilot study would examine the effects of banning trading fee rebates
January 23, 2020

From the Regulators
Manitoba mortgage rep charged over alleged senior abuse
Elderly Winnipeg widow reportedly bilked by ex-securities rep
January 23, 2020

Industry News
Purpose Advisor Solutions acquires Wealthsimple advisor platform
J-F Courville and Dave Nugent will join the firm as managing partners
January 23, 2020

From the Regulators
Fraud tipsters help recover investor assets, SEC says
Whistleblowers "crucial" in protecting retail investors
January 23, 2020

Industry News
Global group targets international tax evasion scheme
The Joint Chiefs of Global Tax Enforcement say they've uncovered "significant information" that will lead to criminal charges
January 23, 2020

From the Regulators
MFDA sets compliance agenda for 2020
January 23, 2020

Appointment Notices
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