News and resources for Canada's top financial advisors
Est. 1998
Industry
Paid ads on social media put vulnerable customers at risk, FCA says
By James Langton |February 11, 2022
2 min read
Advisor's Edge
Fintech partners are helping advisors manage investments, planning and compliance
By Daniel Calabretta |February 4, 2022
3 min read
European regulators will focus on fund managers that invest in illiquid assets
By James Langton |January 20, 2022
1 min read
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
By James Langton |December 17, 2021
Unlicensed professionals must avoid registrable activity
By Michelle Schriver |November 2, 2021
U.S. firms' compliance and surveillance programs need review, the SRO says
By James Langton |October 8, 2021
Investment in compliance is rising along with what's at stake for asset managers
By James Langton |October 5, 2021
Dealers shouldn’t be confronted with red flags upon entry to the home
By Michelle Schriver |October 4, 2021
Proposal would harmonize standards throughout Quebec's financial sector
By James Langton |September 10, 2021
Annual report from OSC compliance branch signals exam targets for the year ahead
By James Langton |August 10, 2021
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.