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Week of May 01, 2021
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From the Regulators
Investor sues advisor for not taking enough risk
Court finds an investor's portfolio was too heavily concentrated in preferred shares, but that its low-risk strategy was appropriate
April 22, 2021

Industry News
Court approves data breach settlements with BMO, CIBC
Cyberattacks in 2018 exposed the data of thousands of bank clients
April 21, 2021

From the Regulators
SRO asks whether rules create barriers to diversity
FINRA said it wants feedback on how its regulations and processes affect industry inclusion
April 29, 2021

Industry News
Canadian Western Bank sets sights on HNW entrepreneurs
Integration of T.E. Wealth and Leon Frazer platforms gives bank scale to compete with Big Six, CWB executives say
April 26, 2021

From the Regulators
Zoom seminar debacle attracts OSC warning
The regulator issued an alert about a banned man hosting online investment conferences
April 26, 2021

From the Regulators
Hedge fund founder duped investors, allege U.S. authorities
Criminal and civil charges are based on allegations that a fund manager deceived investors, misappropriated assets
April 23, 2021

Industry News
Work-from-home risks for advisors
April 23, 2021

Research and Markets
Official crypto poses a threat to banks: Moody's
April 26, 2021

Appointment Notices
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