Firms no longer qualify for narrower online advisor exemption
The regulator's consulting on its proposed guidance before new crypto sector rules take effect
Regulator details how firms can avoid triggering registration
In CFTC action, court order imposes permanent injunction on platform
Platform used investors' money to finance operations, fund withdrawals
Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff
SRO proposes consolidated rulebook, alongside end to dual registration
Agency sanctions breaches of anti-money laundering rules
New $300 fee per rep set to take effect April 1
Initial sanction allowed RRSP, but he traded TFSA, margin accounts too