Regulation

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

By James Langton | August 11, 2023

2 min read

Regulators heed plea to push back trade-matching deadline

CSA ruling helps T+1 push, industry says

By Staff | August 11, 2023

2 min read

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

By James Langton | August 3, 2023

3 min read

Most firms falling short in conflict compliance

Regulators say suitability assessments and disclosure aren't adequate for firms that deal only in proprietary products

By James Langton | August 3, 2023

3 min read