Regulatory

IIROC targeting dealer agreements designed to shield firms from liability

Firms should review agreements with retail investors, the SRO says

By James Langton |October 10, 2019

2 min read

Industry wants involvement in CSA filing system overhaul

Four industry trade groups say they can add “significant value” to the CSA’s renewed filing system

By James Langton |October 9, 2019

2 min read

What client-focused reforms mean for embedded compensation, referral arrangements and more

Experts put the new CFRs in context and highlight the final changes

October 8, 2019

5 min read

Former KPMG partner pleads guilty in audit gaming conspiracy

The scheme involved obtaining confidential lists of planned PCAOB audit reviews to bolster the firm's performance

By James Langton |October 4, 2019

1 min read