Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows
Former rep admitted to misappropriation
Discount brokerage offers Canadian and U.S. equities
Regulator aims to facilitate compliance with new regime
Ex-NBF rep admitted to misappropriating clients' funds, as well as other violations
Regulator's exam division sets compliance priorities for 2024
Another 10 firms sanctioned for extensive recordkeeping violations
Regulators fined firms a total US$549 million for record-keeping failures
Firm fined for operational failures, service and supervisory issues
Conduct standards, crypto and cybersecurity feature in exam plans for 2023