Harmonization applies to investment and seg funds, and will provide investors with increased cost visibility
IIROC finds ex-advisor took money from clients under false pretenses, and made unauthorized trades
Responsible Investment Association's new CEO sheds light on ongoing work to help fill Canada's RI advice gap
Proposed framework aims to help advisors, investors, and fund manufacturers align with common definitions of RI approaches
Investigation reveals respondent engaged in discretionary trading during depth of COVID-19 downturn without client's knowledge
Industry association calls for adjustments to guidance in CFRs and IIROC KYC guidelines to reflect joint report's findings
SRO cites cybersecurity risks, conflicts of interest, and misleading communications among concerns
Portfolio manager and advisor speaks out on industry’s duty toward Canadians, and what can be done to keep them safe
Maureen Jensen brings her two-decade expertise to the independent financial ombudsman
Firm moves to enable digital asset trading in its wealth platform with minority stake in Canadian crypto company
