Compliance

Most firms falling short in conflict compliance

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

Regulators say advisor awards based on production may mislead clients

The CSA and CIRO will consider such awards a compliance issue

By James Langton |August 1, 2023

2 min read

OSC compliance reviews focus on CFRs, crypto firms

Report on industry conflicts to be published soon with CSA, CIRO

By James Langton |July 27, 2023

3 min read

When (you’re told) a new client wants a complicated investment strategy

Inheriting a client doesn’t mean cutting corners with KYC

By Michelle Schriver |July 19, 2023

4 min read