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Industry

SEC moving to require brokers to reveal conflicts for advice

U.S. brokers will also be prohibited from using the title "adviser" with retail clients

By Marcy Gordon, The Associated Press |June 5, 2019

4 min read

IIROC’s strategic plan includes protecting seniors

Industry

IIROC’s strategic plan includes protecting seniors

The SRO will continue to develop a safe-harbour rule

By Staff |June 5, 2019

3 min read

U.S. regulator sues Canadian firm over coin offering

Industry

U.S. regulator sues Canadian firm over coin offering

SEC says digital coins offered by Kik Interactive of Kitchener, Ont., should have been registered as securities

By Staff |June 4, 2019

2 min read

Asset managers aim to gain an edge through digital content: report

Industry

Asset managers aim to gain an edge through digital content: report

Transparency, client engagement drive adoption of digital media, Cerulli finds

By Staff |June 4, 2019

1 min read