News and resources for Canada's top financial advisors
Regulation
B.C court gives plaintiff another chance to clarify proposed claim
By James Langton |July 17, 2023
2 min read
Global group's rules target recent turmoil and misconduct in crypto markets
SEDAR will no longer be available for filing the night of July 20
By Staff |June 30, 2023
1 min read
Economic Indicators
European Commission proposes legal framework, ECB to have final call on digital currency
By James Langton |June 28, 2023
What the regulator's looking for
By Michelle Schriver |September 28, 2017
3 min read
Planning and Advice
Make sure you only take on approved staff
By Jonathan Heymann |December 11, 2015
Industry
How to be compliant
By Jonathan Heymann |October 30, 2015
Here’s how you can supplement your firm’s process.
By Jonathan Heymann |July 13, 2015
Regulators are paying increasing attention to firms’ compliance structures.
By Jonathan Heymann |May 1, 2015
You must maintain an arm’s-length relationship to protect you and your client from impropriety.
By Jonathan Heymann |January 30, 2015
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