Regulatory

U.S. regulators lift strict oversight of Prudential

Decision ends era of tagging certain financial companies as potential threats

By Marcy Gordon, The Associated Press |October 17, 2018

1 min read

IIROC fines former rep $100,000 for unsuitable investments

He was also suspended for 18 months

By Staff |October 16, 2018

2 min read

When a client meeting takes an unexpected turn

What happens when the child of an elderly client wants to sit in?

October 15, 2018

3 min read

Retail banking consumers need single ombudsman, say advocate groups

CARP, FAIR and the Consumers Council of Canada have launched a campaign

By Staff |October 11, 2018

1 min read