Raging bull market covered up lack of planning and COVID-19 crisis has provided profession with a chance to shout their value from the rooftops
Latest enforcement report highlights pervasive problem as well as enhancements to regulatory powers
Self-regulatory organization's latest enforcement report highlights enhanced efforts and powers for investor protection
IIROC issues sanction, finds respondent 'failed in his duty to protect the financial markets'
Advocate says provisions that undermine investor protections should be investigated and nullified
Canadian securities regulators issue relief orders as pandemic imposes operational pressures on industry
Regulator outlines changes affecting about 90% of its members amid COVID-19 challenges
CSA and IIROC affirm benefits of short selling, and cites 'robust framework' in place to monitor and intervene when necessary
Advisor explains three ideas to help you keep in touch with clients and alleviate stress load
Self-regulatory organization urges vigilance against malware and phishing, as well as possible account intrusions
