We fight for investor protection from an unbiased and professional perspective, believing that trust in markets by investors of all types is a critical component of market integrity.
We are champions of professionalism – meaning the highest standards of competency, ethics, and duty to clients.
We believe that markets function best when underpinned by integrity and transparency.
Markets, regulators and investment professionals should work together to protect and foster the societal benefits of well-functioning financial markets.
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Manitoba Finance – Financial Planner Title Protection in Manitoba
September 28, 2023Read More
CIRO – Consultation Paper – Proposed Proficiency Model – Approved Persons under the Investment Dealer and Partially Consolidated Rules (the “Consultation”)
September 20, 2023Read More
Finance Ontario – New Regulation made under sections 19(2)(b)(iii) and 36(0.1) of the Securities Commission Act, 2021 that prescribes additional purposes for which the Ontario Securities Commission (OSC) can use enforcement money
September 18, 2023Read More
CFA Institute – Exposure Draft Guidance Statement on Firms Managing only Broad Distribution Pool Funds
August 22, 2023Read More
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