Regulators

SIMA ramps up pressure on Quebec to scrap AMF fee hikes

Industry warns higher costs could hurt investors and weaken Quebec’s competitive position

SIMA ramps up pressure on Quebec to scrap AMF fee hikes

Regulators caps trading fees on $1-plus inter-listed stocks

New rules align fee and tick regimes for key cross-border names by later this year

Regulators caps trading fees on $1-plus inter-listed stocks

Canadian regulators weigh ‘whole of government’ fix for mythos AI risk

Canadian and global regulators rush to test their own defences as only a few players touch the model

Canadian regulators weigh ‘whole of government’ fix for mythos AI risk

US class action raises risk for RBC and US banks

US cities push banks over “intentionally high” VRDO rates in landmark class action

US class action raises risk for RBC and US banks

What should advisors take away from the pivot in SEC enforcement focus?

Former SEC attorney Rebecca Fike explains the ethos behind the headline stats

What should advisors take away from the pivot in SEC enforcement focus?

Mutual fund dealer fined $250,000 over supervisory & compliance failures

CIRO sanction comes with an additional $15,000 in costs

Mutual fund dealer fined $250,000 over supervisory & compliance failures