Regulatory

FCAC to examine how banks, third parties handle complaints Fallback Image Decorative pattern

Industry

FCAC to examine how banks, third parties handle complaints

In its March report, the watchdog found ``insufficient'' controls in place to prevent sales of unsuitable financial products

By Armina Ligaya, The Canadian Press |November 22, 2018

3 min read

Former advisor banned, fined $140K for suitability failures Fallback Image Decorative pattern

Industry

Former advisor banned, fined $140K for suitability failures

The Regina-based rep sold DSC funds early and without authorization, IIROC alleges

By Staff |November 22, 2018

1 min read

Will CSA’s product-related proposals help or hinder advisors? Fallback Image Decorative pattern

Industry

Will CSA’s product-related proposals help or hinder advisors?

A panel at the Advocis symposium broke down the client-focused reforms

By Katie Keir |November 21, 2018

3 min read

ASC creates whistleblower program ASC creates whistleblower program

Industry

ASC creates whistleblower program

The program and new office add protections for whistleblowers

By Staff |November 20, 2018

1 min read

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