Tips for financial advisors — and for clients affected by other breaches
Firm penalized for breaches uncovered in a compliance exam
Regulator to be quicker to use monetary penalties, add AI to risk management duties
Sanctions follow findings of 2023 review, which flagged four violations
Budget boosts penalties, SRO powers, short selling rules
Economic fallout would weigh on banks' credit quality, driving loan losses
Competition may get a boost, but Big Six will remain dominant
Regulator to consider fair treatment of clients amid firms' operational risks
OSC asked to review OM exemption, beneficial ownership registry being examined
Investor alleges PACE securities sold without required disclosure while under FSRA administration