SRO says high risk, high volume trades, insufficient notes should have raised red flags
Life insurance consumers deserve to know what they bought — and how it compares with other options
Enforcement action targets weaknesses in AML controls, compliance
Review will consider far-reaching reforms to dispute resolution mechanism
Court rejects theory that investor disclosure is required for share transfers
Court appoints monitor, Bank of Canada amends compliance order for XTM Inc.
CanDeal to help pilot common solution to cut duplicative administrative, compliance tasks
SRO modernizes rules on industry gifts, codifies guidance, exemptions
Regulator issues guidance to beef up the supervision of automated trading
Regulator details enhanced enforcement outcomes