The Canadian regulatory landscape will be fundamentally altered in 2023
CSA and IIROC consider possible reforms amid persistent but unsupported negative perceptions about short-selling
Firm agreed to $100,000 sanction, admitted oversight violations
Proposals include increasing the limit on claims and publishing arbitration decisions
Trade group calls on provincial finance minister to review fund dealer oversight
Provincial regulators finalized recognition orders and interim rules
Regulator sets out draft priorities for fiscal 2024
IIROC alleged the rep misappropriated millions from elderly clients
Regulator alleged U.K.-based firm violated prohibition on advice
Review considers doing away with dedicated directors, alternate input mechanisms