Investor protection

Regulation

CSA promises OBSI binding authority proposal

October 7, 2022 James Langton
Downtown Toronto Financial District Skyscrapers stock photo
Regulation

Not an advisor, but still a fiduciary, court finds

October 7, 2022 James Langton
Broken eggs next to an overturned wicker basket. Concept: "Don't put all your eggs in one basket".
Regulation

New SRO begins work on IAP

October 5, 2022 James Langton
Regulation

Don’t assume retail investors “get” inflation risk

September 27, 2022 James Langton
advisor with client
Regulation

OSC to examine audit firms

September 23, 2022 James Langton
Judge's gavel with magnifying glass on black.
Regulation

Advocacy groups slam Ontario on advisor education

September 22, 2022 James Langton
Queen's park, Ontario
Regulation

Mutual fund sales practices face fresh scrutiny

September 22, 2022 James Langton
business man using magnifying glass to inspect documents
Regulation

NASAA touts U.S. state enforcement efforts

September 21, 2022 James Langton
Stock trading, people, business concept.
News

For shame: Reputation risk spurs banks to pay compensation

September 19, 2022 James Langton
Concept of businessman with good work ethic.
Regulation

BCSC settles illegal distribution allegation

September 13, 2022 James Langton
A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t
Regulation

Financial risks rising as economic woes mount

September 12, 2022 James Langton
a man on a precipice
Industry

OSC names new members of Investor Advisory Panel

September 8, 2022 IE Staff
vintage microphones