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Portrait of young couple working with financial advisor while smiling and sitting on assistance workplace

Firms can expect additional guidance relating to KYC and suitability obligations

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SRO adopts rule changes to enhance investor protection

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The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization

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FAIR Canada supports tougher investor protection measures, but questions other proposals

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Dealing with a request outside your joint engagement

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Committee provides feedback on compliance and policy issues

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Issues related to the SolarWinds cybersecurity incident should be reported

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Regulator seeks to raise standards for mortgage brokers

CSA and FSB have each offered advice to firms

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IIROC urges investment dealers to start prepping for rule changes now