Policy action may be needed to ensure resilience, European regulators say
Firm settled allegations involving unapproved electronic access
As the province adjusts to titles regulation, we look at Quebec’s experience
BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes
Ontario's regulator is expanding oversight reviews after a pilot effort found widespread shortcomings
Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says
Paid ads on social media put vulnerable customers at risk, FCA says
Fintech partners are helping advisors manage investments, planning and compliance
European regulators will focus on fund managers that invest in illiquid assets
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed