Industry News

New SRO plans October business continuity test

The biennial exercise will be coordinated with the U.S. industry

By Staff |January 23, 2023

1 min read

FSRA proposes cyber guidance for title credentialing bodies

Groups issuing financial planner and advisor titles must meet cybersecurity guidelines

By Staff |January 23, 2023

2 min read

Bloomberg sanctioned over bond pricing disclosures

Securities prices sometimes relied on single sources, the SEC alleged

By Staff |January 23, 2023

2 min read

Advisor hit hardest in Amaya Gaming insider trading case

An Ontario tribunal handed down $5.1 million in penalties and other costs

By James Langton |January 23, 2023

2 min read