Topic: Regulation

Are you making these common compliance mistakes?

Katie Keir / July 12, 2017 / Industry News

IIROC guidance on managing conflicts poses challenges for dealers

Michelle Schriver / June 30, 2017 / Industry News

Real estate agent rules and penalties under scrutiny

Staff, with files from The Canadian Press / June 28, 2017 / Industry News

RBC to pay more than $21 million over clients paying excess fees

Staff / June 27, 2017 / Industry News

The fund companies that support banning embedded fees are…

Katie Keir / June 27, 2017 / Industry News

Former Poseidon exec to pay $750,000 in fines, costs to ASC

The Canadian Press / June 9, 2017 / News

Trump chooses regional banker as key regulator for U.S. banks

Staff, with files from The Associated Press / June 6, 2017 / Economic

Embedded commissions bans apply to 13% of global mutual fund assets: IFIC

Staff / June 5, 2017 / Industry News

Opinion: How to reform a rotting banking advice system

Harper Fraze / May 30, 2017 / Industry News

FAIR Canada, CARP say CCMR won’t benefit average Canadians

Staff / May 19, 2017 / Industry News