News and resources for Canada's top financial advisors
Est. 1998
Regulation
Undertaking doesn't preclude regulator's enforcement action, court finds
By James Langton |September 29, 2023
3 min read
Firms not disclosing investments' negative ESG impact, Paris alignment
2 min read
Another 10 firms sanctioned for extensive recordkeeping violations
Industry
Regulator aims for truth in advertising, seeks to combat greenwashing
By James Langton |September 20, 2023
Wedbush Securities fined for compliance failings
By James Langton |September 8, 2023
1 min read
Firms make token effort to raise standards, cling to suitability, NASAA finds
By James Langton |September 5, 2023
Former firm provided reps with improper incentives, regulator alleged
By James Langton |August 25, 2023
Back-office snafu meant clients didn't get discounts on standard fees
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
By James Langton |August 23, 2023
Regulators fined firms a total US$549 million for record-keeping failures
By James Langton |August 8, 2023
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