News and resources for Canada's top financial advisors
Industry
From dealing with Covid-19 to geopolitical upheaval, 2020 has been an interesting year
By Staff |December 21, 2020
2 min read
Assets in both segments soared on market strength
By James Langton |December 18, 2020
The regulator alleges the firm ignored risk limits on clients' discretionary accounts to prop up a penny stock company
OFSI superintendent will not seek a second term
1 min read
The regulator alleges that the founders diverted money raised for the fund to other purposes
Pandemic caused banks to move faster on tech strategies
By Tara Deschamps, The Canadian Press |December 18, 2020
4 min read
Rising systemic risk could cause regulators to revise approach
December 18, 2020
The added fee doesn't provide much incentive for improved behaviour, the SRO said
By James Langton |December 17, 2020
The regulator found that poor trade pricing cost customers US$34.1 million despite lack of commissions
NASAA reports that regulators have uncovered 262 Covid-19 schemes
We use cookies to make your website experience better. By accepting this notice and continuing to browse our website you confirm you accept our Terms of Use & Privacy Policy.