Despite their continued expansion, robo-advice platforms remain a new and complicated concept for many of Canada’s financial advisors
An IIROC advisor is accused of putting himself well ahead of his clients in recommending securities at the same time he was selling his own personal holdings in those securities.
A new report suggests financial advisors more than any other players in financial services have the opportunity to take business from the big banks.
Standardized summaries have been called into question following an Association of Canadian Compliance Professionals (ACCP) conference as advisors remain torn on the subject of CRM2.
Some firms are touting it as the greatest thing since sliced bread, but new numbers suggest advisors simply aren’t buying it.
Advisors are embroiled in a debate about compensation and client perceptions of value, but the only thing that may truly matter is total cost.
An Advocis veteran will use his role as judge for the WP awards to raise awareness about the excellence required of the industry.
The one-percenters are really the only beneficiaries of a phenomenon taking 50 per cent of the S&P 500’s net income, charge critics.
A US compliance professional awarded $1.6 million for whistleblowing on his company is igniting concerns that a proposed program for Ontario will do little to protect informants.
The Ontario Securities Commission has rejected a request that it should – and not IIROC – issue a new penalty for an advisor appealing an earlier decision.