Regulation

CIRO proposes total cost reporting rules

Self-regulatory organization aims to harmonize with CSA's revised requirements

By James Langton |October 10, 2024

2 min read

TD fined US$3.09B as bank pleads guilty to U.S. charges related to money laundering

Non-financial sanctions put limits on the bank's growth in the U.S.

By Sammy Hudes, The Canadian Press |October 10, 2024

3 min read

Brokerage sanctioned for gatekeeper failures

CIRO settles with firm over failure to question suspicious trading activity

By James Langton |October 10, 2024

2 min read

TD agrees to settle trailer fee class action

Claim alleged investors were harmed by mutual funds paying trailers to discount brokers

By James Langton |October 9, 2024

2 min read