News and resources for Canada's top financial advisors
Est. 1998
Industry
The regulator's accreditation relationship with CECAP will end on Dec. 31
By Staff |October 25, 2021
2 min read
IIROC panel found rep secretly compensated clients, misled investigators
By James Langton |October 13, 2021
1 min read
The CSA chair provided details Wednesday about the new SRO and why he's "all in" on CRM3
By James Langton |September 29, 2021
The SRO withdrew the allegation after settling with the firm's former head
By James Langton |September 23, 2021
Marketing tactics by crypto firms are raising concerns with CSA and IIROC
The online event on Oct. 13 will focus on diversity issues for frontline staff
By James Langton |September 17, 2021
The settlement follows the firm's liquidation last year
By Staff |September 16, 2021
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
By James Langton |August 23, 2021
3 min read
Dealers must notify the regulator of new products and services
By James Langton |August 18, 2021
Consolidated rules and enhanced governance will be part of the changes
By Michelle Schriver |August 3, 2021
5 min read
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.