News and resources for Canada's top financial advisors
Est. 1998
Industry
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
By James Langton |May 28, 2021
2 min read
FINTRAC's compliance exams won't start until April 2022
By James Langton |May 18, 2021
1 min read
Citing continued consumer harm and a lack of trust, regulator plans tougher consumer protection requirements
By James Langton |May 14, 2021
Advisor's Edge
A CSA consultation has become more interesting after the GameStop saga
By Mark Burgess |May 11, 2021
11 min read
Firms can expect additional guidance relating to KYC and suitability obligations
By James Langton |March 22, 2021
SRO adopts rule changes to enhance investor protection
By James Langton |March 12, 2021
The group of regulators penned a letter that warns unilateral Ontario reforms could hurt harmonization
By James Langton |February 12, 2021
FAIR Canada supports tougher investor protection measures, but questions other proposals
By James Langton |February 5, 2021
3 min read
Dealing with a request outside your joint engagement
By Michelle Schriver |February 5, 2021
Committee provides feedback on compliance and policy issues
By James Langton |January 8, 2021
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