Regulator to finalize new guidance by the end of 2024
Former rep admitted to misappropriation
Panel said penalty should be bigger than regulator requested
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
Firms were allowed to collect trailers before the CSA ban, court rules
Money laundering lawyer gets 10 years in prison
Regulator calls for continuity plans at one-man shops
SRO consults on options for resolving long-standing regulatory disparity
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
Global issuance for 2024 is estimated at US$950 billion