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Week of July 10, 2021
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Industry News
Torontonian charged in multimillion-dollar insider trading case in U.S.
The man allegedly stole confidential information about his employer's trade orders to make hundreds of personal trades
July 5, 2021

Industry News
Feds plan to amend small biz succession bill
Finance's decision to delay implementation of Bill C-208 means it could revise or even repeal the law
July 7, 2021

From the Regulators
Fund rep sanctioned over fake account scheme
The former mutual fund representative opened fake accounts to score new client bonuses from TD Bank
July 7, 2021

From the Regulators
The calm before the enforcement storm?
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
July 6, 2021

From the Regulators
Lack of NAV to leave Bridging Finance investors with hole in portfolios — for now
Some investors may see a zero on their June 30 statements
June 30, 2021

From the Regulators
IIROC fines former advisor $150K for excessive trading, client borrowing
Misguided faith in tactical trading strategy led to the violations
July 8, 2021

Industry News
Equity markets to remain open on new federal holiday
June 30, 2021

Research and Markets
Money market fund reforms could sink sector
July 5, 2021

Appointment Notices
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