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B.C. RESIDENT AND COMPANY PAY $35,000 TO SETTLE UNREGISTERED ACTIVITY CASE

A B.C. resident and her company have jointly paid $35,000 to the B.C. Securities Commission (BCSC) after admitting to trading in securities without being registered when they referred investors to pu...

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SEC
SEC CHARGES R.R. DONNELLEY & SONS CO. WITH CYBERSECURITY- RELATED CONTROLS VIOLATIONS
June 20, 2024

The Securities and Exchange Commission announced that R.R. Donnelley & Sons Company (RRD), a global provider of business communic...

Investment Executive
BINANCE HOLDINGS APPEALS $6M FINTRAC FINE
June 20, 2024

Binance Holdings Ltd. is appealing a $6-million fine imposed on the company by Fintrac, the federal anti-money laundering agency....

Investment Executive
HOW TOTAL COST REPORTING WILL AFFECT LIFE AGENTS
June 20, 2024

Total cost reporting (TCR) for both securities and segregated funds is expected to be in place for the statements clients receive...

OSC
OSC"S INVESTOR ADVISORY PANEL RELEASES 2023 ANNUAL REPORT
June 19, 2024

The Investor Advisory Panel (the IAP) released its 2023 Annual Report summarizing its activities, submissions, consultations, an...

Investment Executive
B.C. COURT RULES ON LIMITS TO POWERS OF ATTORNEY
June 19, 2024

A case involving a proposed gift from the assets of a woman with dementia has highlighted the limitations of powers of attorney. ...