Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages
Offshore stock trades came alongside previously-sanctioned options trades
The CSA and CIRO will consider such awards a compliance issue
Regulator issues proposed guidance for public comment until Aug. 25
Compliance reviews exposed gaps in firms' anti-money laundering controls
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
BCSC orders eight-year ban, alongside $60,000 penalty
Marketing company gets first-ever penalty for deficient advertorial disclosure
Proposed rules would require firms to identify and combat conflicts built into technologies
Former Scotia Capital rep sanctioned in settlement with CIRO