Industry

How to keep splitting income with family members in 2018 and beyond

But act fast if clients suit this strategy

By Kyle Westhaver and John Nicola |January 19, 2018

4 min read

Advisors bullish on marijuana, financials, emerging markets: survey

Find out what advisors are excited about and cautious on

By Staff |January 19, 2018

3 min read

Dealers still doing inadequate KYC, finds IIROC

IIROC’s priorities for the year ahead include compliance around CRM2, pre-trade risk controls, cybersecurity and online advice. The self-regulatory organization (SRO) released its annual Compliance Priorities Report Thursday outlining its focus for the year ahead. The report identified compliance concerns around CRM2 related to KYC information. IIROC reported that it continued to find dealers who […]

By Staff |January 18, 2018

2 min read

In-house counsel can’t blow the whistle: OSC

When it comes to whistleblowers, the OSC wants to make clear that in-house counsel aren’t eligible for rewards. Read: How to blow the whistle The commission has published a proposed change to its whistleblower program, with a 60-day comment period. The whistleblower program already excludes those who obtained information while providing legal services to the […]

By Staff |January 18, 2018

1 min read