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The inability to successfully pass the exam after four attempts demonstrates that the rep lacks the requisite proficiency

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Six principles aim to better engage millennials in investing

Judge gavel, scales of justice and law books in court

The company and several of its top executives defrauded investors and misled investigators in one of Canada’s largest corporate fraud cases

business angel against the sky

In its annual statement of priorities, regulator reinforces its commitment to CSA’s proposed reforms and bolstering banking ombudsman

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Committee members include Catherine McCall, the newly named head of the Canadian Coalition for Good Governance

Whistleblower

OSC’s offer of financial compensation has generated 200 tips resulting in several active investigations

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The top reason among investors for buying into cryptoassets was interest in new technologies followed by speculation

Investment Executive July 2018 front cover

Establishing “harm” is no easy task

Downtown office buildings Toronto

Mountain worked on proposals to change the mutual fund fee structure and reduce regulatory burden for investment fund issuers for the past two years

  • By: IE Staff
  • June 18, 2018 June 20, 2018
  • 16:25
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Regulator to consider allegations against portfolio and investment manager at July 3 hearing