Regulator to embed ESG considerations into compliance, enforcement work
CIRO must get on with the enforcement proceeding, if that's what it intends to do
Regulatory order breach results in fine, disgorgement and a new ban
Regulator charges Weizhen Tang with breaching permanent ban imposed in 2016
OSC finds investors favour human-AI combo, no fear of AI advice
Government proposes easing service requirements for investigative notices
Appeals of Tribunal's merits and sanctions decisions rejected
Both sides appealed rulings involving rep inheriting client's estate
NovaTech allegedly took more than US$650 million from investors globally
Misconduct continued even when rep was under close supervision, CIRO says