News and resources for Canada's top financial advisors
Est. 1998
Regulation
SRO panel found the rep opened banking products, including a line of credit, in the client's name
By James Langton |January 30, 2024
2 min read
Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions
3 min read
The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
OSFI says financial firms need to pick up the pace on climate impacts
By James Langton |January 29, 2024
Former rep admitted to misappropriation
Canadian insurance regulators have not issued a similar warning
By Melissa Shin |January 26, 2024
4 min read
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
By James Langton |January 26, 2024
Firms were allowed to collect trailers before the CSA ban, court rules
Regulator calls for continuity plans at one-man shops
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
By James Langton |January 25, 2024
1 min read
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