Now is the time to update your clients’ KYC and think about their risk capacity
The FCA issues guidance on public listings by cannabis companies
FCA consulting on improvements to retail investment markets
An individual has been spared from testifying following a “very technical” interpretation of the Ontario Securities Act
Comment letters to the CSA proposal lay out risks to the client-advisor relationship
An OSC hearing will consider whether a venture issuer should be regulated as a fund
Advisors may have to consider 1 million data points per day when the CFRs come into force
Most applications for mortgage deferrals were approved in March and April
New report explores the costs and benefits of an IIROC/MFDA merger
The bank reached a US$122-million settlement with the U.S. Consumer Financial Protection Bureau