Why dealer firms favour 'plain vanilla types' of investment offerings
CSA publishes notices recognizing single self-regulatory organization on January 1
Self-regulatory organization finds firm failed to ensure client information confidentiality during onboarding process
MFDA finds former dealing rep misappropriated tens of thousands of dollars to farm commissions, pay debts
MFDA finds former dealing rep submitted inaccurate or falsified information on clients' risk tolerance and net worth
Harder to define financial advisor than financial planner, says CEO
Industry veteran says higher bar on professionalism needed to rebuild consumer trust
Founder of Learnedly says SRO's announcement will help address long-standing issues among firms and registrants
John Novachis, of Investment Planning Counsel, reminds advisor owners to look beyond the markets in evaluating their business
Rules being phased in from January 1 will make it 'flexible and easy' to become dual-registered firm
