Regulation

Only sell proprietary product? You’re a salesperson, argues CSA

Or more extreme, you're only an "advisor" if you're discretionary. If you're not, find out what you'd be called instead

By Staff |April 28, 2016

3 min read

IIROC rep suspended, fined over unauthorized trades

An IIROC hearing panel has found Dominic Tersigni effected unauthorized trades in two clients' accounts.

By Staff |April 26, 2016

1 min read

Can you offer monetary gifts to clients?

There are two main reasons you shouldn’t offer cash gifts.

By Katie Keir |April 22, 2016

3 min read

Which firms are affected by new Wall Street bonus rules?

U.S. regulators have finally released rules that would discourage risk-taking by senior financial executives.

By Staff |April 22, 2016

1 min read