News and resources for Canada's top financial advisors
Est. 1998
Industry
With complaints on the rise, disciplinary activity slowed in fiscal 2021, IIROC reports
By James Langton |July 6, 2021
3 min read
An oversight examination has uncovered just one "low-priority" issue with market surveillance
By James Langton |June 25, 2021
1 min read
Rep fined $75,000, suspended for six months in settlement with regulators
By James Langton |June 4, 2021
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
By James Langton |May 28, 2021
2 min read
Reporting changes will be rolled into a bigger project on complaints, investigations
By James Langton |May 13, 2021
Investor advisory panel would provide feedback on regulatory policy issues and initiatives
By James Langton |May 3, 2021
The group will provide industry input on advisor education
By Staff |April 28, 2021
Regulatory staff are expected to deliver recommendations to CSA chairs in the coming weeks
By James Langton |April 20, 2021
The CSA will finalize rules designed to protect vulnerable clients by early summer
By Staff |April 15, 2021
Man also admitted he used pre-signed forms
By Staff |April 7, 2021
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