News and resources for Canada's top financial advisors
Est. 1998
Industry
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
By James Langton |May 25, 2023
2 min read
Demonstrate and discuss your regulatory requirements with clients, IFB says
By Michelle Schriver |May 25, 2023
Management group no longer ruling out individual asset sales
By Mark Burgess |May 8, 2023
Deal resolves claims over mortgage prepayment charges
By Staff |May 8, 2023
1 min read
As LIBOR ends, regulators cut firms some slack
By James Langton |May 4, 2023
Firms will have until Dec. 31, 2024, to adopt the name and logo on required disclosures
By Mark Burgess |April 24, 2023
Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle
By James Langton |April 20, 2023
The regulator intends to be a credentialing body under the province's title protection regime
By Michelle Schriver |March 27, 2023
Prospective witness failed to prove real risk of U.S. criminal prosecution
By James Langton |February 21, 2023
3 min read
New tools aim to improve investigative authority, collections
By James Langton |February 9, 2023
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