Regulatory

Being investigated by a regulator? Co-operation is crucial

A head-in-the-sand approach makes matters worse

By Michelle Schriver |June 12, 2020

2 min read

Canadian and Taiwanese regulators join forces on fintech

The regulators have signed a memorandum of understanding to promote innovation, supervision

By James Langton |June 11, 2020

2 min read

CSA draws line between client service, stock picking duties for PMs

The regulator is relaxing its approach to portfolio manager proficiency

By James Langton |June 10, 2020

2 min read

Downturns often mean an uptick in claims against advisors

Legal experts offer tips for protecting yourself in good times and bad

By Michelle Schriver |June 10, 2020

5 min read