News and resources for Canada's top financial advisors
Est. 1998
Industry
Dealers must prepare for ongoing CFR reviews and expiring pandemic exemptions, priorities report says
By Michelle Schriver |March 10, 2022
2 min read
The CSA is seeking six industry directors and eight independent directors for the board
By James Langton |January 21, 2022
1 min read
Changes include clearer requirements for dealers to conduct investigations
By Staff |January 13, 2022
Clients lost over $1 million on risky options strategy in market crash
By James Langton |January 10, 2022
The ex-representative embezzled funds from elderly clients
By James Langton |January 6, 2022
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
Debra Doucette takes the role as Holly A. Benson steps down
By Staff |November 24, 2021
Regulators aim to name CEO, board by Q2 next year
By James Langton |November 18, 2021
The regulator can now collect fines through the courts countrywide
By Staff |November 17, 2021
Rep sought to repay money with risky options trading
By James Langton |October 29, 2021
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