The regulator has banned the marketing of speculative, illiquid securities to retail investors
Top U.S. regulators are leaving their agencies in months ahead
Firm to return US$170 million to investors in SEC settlement
The firm was bleeding cash while publicly claiming operations were sustainable
The permanent ban follows a jail term and restitution order
Police say Canadians have lost $18.4 million to CRA scams since 2014
Regulator proposes guidance on complying with national code
New client identifier requirements for listed securities take effect in July 2021
Case claimed extra compensation for selling in-house funds harmed investors
Two former executives face a hearing next year