Regulators

Your clients might be listening to finfluencers more than they’re listening to you

Advisors face new challenges as clients increasingly follow unregulated online financial advice

Your clients might be listening to finfluencers more than they’re listening to you

Top 10 regulatory changes affecting Canadian advisors

Advisors face new compliance, diversity and crypto rules as regulators increase enforcement activity

Top 10 regulatory changes affecting Canadian advisors

What is CIRO focusing on for the next year?

Regulator sets out its priorities in new report

What is CIRO focusing on for the next year?

CSA faces scrutiny as investor advocates demand end to chargebacks and exclusive fund sales

Investor groups push regulators to ban chargebacks and review principal distributor commissions model

CSA faces scrutiny as investor advocates demand end to chargebacks and exclusive fund sales

CIRO bans advisor who misappropriated $1.2m from vulnerable clients with health problems

Advisor used fabricated investment reports while working at Assante Capital in Nanaimo, British Columbia

CIRO bans advisor who misappropriated $1.2m from vulnerable clients with health problems

Are retirement savings rules ageing poorly?

The Securities and Investment Management Association is urging Ottawa to delay RRSP conversion and ease RRIF rules amid rising costs for seniors

Are retirement savings rules ageing poorly?