Advisor

SEC sanctions firms’ theoretical returns reporting

Investment advisers violated revised marketing rules, regulator alleges

By James Langton |September 12, 2023

1 min read

CSA increased bans, fines in latest fiscal year

Regulators' year in review also detailed crypto oversight, CFR sweep

By Staff |September 7, 2023

2 min read

BCSC sanctions sales-rule violations

Former firm provided reps with improper incentives, regulator alleged

By James Langton |August 25, 2023

1 min read

Advocis addresses liquidity after poor 2022 results

The association extended its line of credit, got a loan and tapped into its $5.5-million reserve fund

By Michelle Schriver |August 24, 2023

2 min read