In series of legal filings, regulator claims exclusive jurisdiction
Reps allegedly took $1 million from an elderly client
Proposals out for 90-day comment period, final regime slated for Jan. 1, 2028
Firm failed to pay attention to red flags in rep's trading activity
SRO sets out regulatory agenda for year ahead
SRO drops mandatory close-out proposal, adds new conduct-based approach
SRO issues revisions to gatekeeper, trading supervision obligations
IPC upholds OSC decision to preserve privacy of dealers in failed trade study
Compromised data is starting to show up on the dark web
The regulator says the new exam fees will lower the cost of licensing in Canada