The Securities and Futures Commission gives new three-year term to executive director
The federal regulator's plan identifies a variety of financial and non-financial risks
Proposed changes include a requirement to report information security breaches
SRO seeks comment on minor contravention program and early resolution offers. The programs would contribute to enhanced efficiencies and faster resolutions
The Office of Financial Innovation will lead the SRO's handling of fintech-related issues
An alert says the sales tactic can take advantage of clients
Low-value deals accounted for more than three-quarters of global VC activity
Canadian direct investment abroad jumped by 10.4% to $1.3 trillion in 2018
Ben Gully will succeed Carolyn Rogers as assistant superintendent, regulation sector
The former broker admitted to recommending unsuitable high-risk investments to multiple clients