The mutual fund firm will be able to finance educational events that Quebec-based lobby group for advisors, PAFSA, is hosting
Regulators must have the courage to foster a responsive regulatory climate while protecting investors
The firm is not licensed or registered to conduct syndicated mortgage business in Ontario
David Humphrey, former accountant and branch chief in the SEC’s corporate finance division, will be sentenced in August
The investment industry will get its chance to weigh in on plans to overhaul the regulation of the over-the-counter derivatives market
The regulator’s allegations have prompted some customers to pull their deposits
Hearing panel rules against application from Global RESP and Global Growth Assets, whose UDP was suspended in an earlier proceeding
The firm consented to the suspension and is prohibited from providing advice and selling securities to investors
Regulator wants to hear something new in embedded fee debate
The regulator is seeking to ban Garth Drabinksy, ho defrauded investors of an estimated $500 million, from acting as a director or officer of a public company and acting as or becoming a registrant in Ontario