SRO bulletin sets out priorities concerning vulnerable clients, performance reporting, and client-focused reforms, among others
Securities regulators reviewing submissions from consultation, as well as other data and analyses
Firm looks to a global pandemic recovery and why 2020 will change the portfolio management world
Michael White of Picton Mahoney shares thoughts on CSA's liquid-alternative blanket relief order and industry's likely next steps
Investor advocacy group applauds taskforce’s work, identifies some areas of concern for governments and regulators
Industry self-regulator announces initiative toward ‘bold new vision’ of fundamental reform to promote public interest
Former dealing representative violated client's trust by changing contact details to conceal unauthorized transactions, says MFDA
Compensation of harmed investors should consider opportunity costs of unsuitable advice, argues advocate
Regulator issues blanket relief allowing additional proficiency options for mutual fund dealing reps
Transactions in 2016 and 2017 were done to help fund advisor increase his compensation, MFDA says
