News and resources for Canada's top financial advisors
Est. 1998
Regulation
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
Industry
The CSA and CIRO will consider such awards a compliance issue
By James Langton |August 1, 2023
2 min read
Report on industry conflicts to be published soon with CSA, CIRO
By James Langton |July 27, 2023
Planning and Advice
Inheriting a client doesn’t mean cutting corners with KYC
By Michelle Schriver |July 19, 2023
4 min read
Gravitas Securities suspended after repeated shortfalls, failure to file financials
By James Langton |June 22, 2023
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
By James Langton |June 1, 2023
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
By James Langton |May 25, 2023
Demonstrate and discuss your regulatory requirements with clients, IFB says
By Michelle Schriver |May 25, 2023
European Securities and Markets Authority seeks to curb investors' fund costs
By James Langton |May 17, 2023
1 min read
Regulator will issue penalties, without hearings, for minor rule violations
By James Langton |April 27, 2023
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