News and resources for Canada's top financial advisors
Est. 1998
Industry
In the coming year, the regulator will assess how firms are implementing the CFRs
By Melissa Shin |October 14, 2022
2 min read
Changes aim to adapt regulator's requirements to tech innovation
By James Langton |October 12, 2022
The organization's president presented a hypothetical ethical scenario involving pre-signed forms at a conference last week
By Daniel Calabretta |September 13, 2022
Firms are increasingly reporting digital signature falsification
By James Langton |August 3, 2022
1 min read
Policy action may be needed to ensure resilience, European regulators say
By James Langton |May 12, 2022
Firm settled allegations involving unapproved electronic access
By James Langton |May 11, 2022
Advisor's Edge
As the province adjusts to titles regulation, we look at Quebec’s experience
By Melissa Shin |May 9, 2022
BCSC compliance reviews find CRM2 failings alongside registration and marketing gaffes
By James Langton |April 27, 2022
3 min read
Life
Ontario's regulator is expanding oversight reviews after a pilot effort found widespread shortcomings
By James Langton |March 29, 2022
Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says
By Michelle Schriver |March 10, 2022
We use cookies to make your website experience better. By accepting this notice and continuing to browse our website you confirm you accept our Terms of Use & Privacy Policy.