Industry News

SEC discretion nets tipster US$37M award SEC discretion nets tipster US$37M award

Industry

SEC discretion nets tipster US$37M award

Regulator set aside timing requirements and ordered award for anonymous tips

By Staff |December 19, 2022

2 min read

SEC market overhaul to boost exchanges, hurt brokers Fallback Image Decorative pattern

Industry

SEC market overhaul to boost exchanges, hurt brokers

Proposed reforms are likely to drive volume away from wholesalers and market makers, reports say

By James Langton |December 19, 2022

2 min read

QAFP exam candidates down after post-secondary requirement introduced Fallback Image Decorative pattern

Industry

QAFP exam candidates down after post-secondary requirement introduced

Fewer candidates sat for the May and October exams

By Michelle Schriver |December 16, 2022

2 min read

Court case against ex CannTrust leaders should prompt OSC ‘soul searching’: experts Fallback Image Decorative pattern

Industry

Court case against ex CannTrust leaders should prompt OSC ‘soul searching’: experts

Observers felt a strong ruling would have sent a message to other pot companies and comforted investors who lost money

By Tara Deschamps, The Canadian Press |December 16, 2022

4 min read

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