Regulatory

Nervous about CRM2? Here’s how U.K. dealt with transparency reforms

Over the last eight years, U.K. advisors have dealt with qualification and fee-transparency reforms.

April 28, 2016

3 min read

3 provincial regulators sign onto MOU with U.S. CFTC

The New Brunswick Financial and Consumer Services Commission (FCNB), the Nova Scotia Securities Commission (NSSC) and the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) announced today that they have each signed separate Counterparts to a Memorandum of Understanding (MOU) with the U.S. Commodity Futures Trading Commission (CFTC) to Enhance Supervision of Cross-Border Regulated Entities. […]

By Staff |April 27, 2016

1 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