News and resources for Canada's top financial advisors
Industry
Some social risks are better managed than others, a new report finds
By Maddie Johnson |November 17, 2022
2 min read
SRO sees surge in scams involving foreign-issuer, small-cap IPOs
By James Langton |November 17, 2022
Certain behavioural nudges influence investors, regulator finds
Manulife, Dynamic won group awards for ETFs
By Staff |November 17, 2022
1 min read
Many FTX Group companies had no appropriate corporate governance nor held board meetings
By Michelle Chapman, The Associated Press |November 17, 2022
OSFI, FCAC, CDIC call out firms' conduct, prudential responsibilities
By James Langton |November 16, 2022
Deal activity declines in Q3, led by a drop in small transactions, Crosbie & Co. says
Tips from those who made the transition
By Todd Humber |November 16, 2022
4 min read
FINRA seeks information on firms' recent crypto-related communications
By James Langton |November 15, 2022
Deadline for applications to join regulatory division committee is Dec. 15
By Staff |November 15, 2022
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