Regulators

Former Sun Life advisor fined $12,500 for staying silent on client fraud

The senior client's $132,000 retirement account was reduced to $156 over six months

Former Sun Life advisor fined $12,500 for staying silent on client fraud

SEC corporate enforcement hits multi-decade low as agency refocuses on fraud

Just five actions were started in the first half of fiscal 2026, a new analysis finds

SEC corporate enforcement hits multi-decade low as agency refocuses on fraud

CIRO bans former Scotia Securities representative for life

Settlement also comes with $45,000 in financial penalties

CIRO bans former Scotia Securities representative for life

CIRO finds couple helped themselves to an elderly client's life savings

The regulator's panel finds advisor named himself sole heir to client's estate

CIRO finds couple helped themselves to an elderly client's life savings

Canada's tax agency logged 42,000 data breaches it couldn't explain

Canada's privacy commissioner found the CRA violated federal law by failing to protect millions of taxpayers' sensitive financial data

Canada's tax agency logged 42,000 data breaches it couldn't explain

CIRO updates reduced-margin list in routine quarterly refresh

CIRO publishes routine quarterly margin list, adding 145 securities and removing 62

CIRO updates reduced-margin list in routine quarterly refresh