Regulators

Ex-advisor banned after borrowing from clients to pay mortgage

Loans, which totalled six-figure sum, included mutual fund redemptions

Ex-advisor banned after borrowing from clients to pay mortgage

Seg-fund fees are high but don’t blame DSCs for bad advice, says advisor

Veteran financial planner argues industry and advisors should keep seg funds' purpose in mind

Seg-fund fees are high but don’t blame DSCs for bad advice, says advisor

CSA unveils board members for new SRO

Securities regulators also seek comment on documents necessary for amalgamation of IIROC and MFDA

CSA unveils board members for new SRO

FSRA unveils third credentialling body for financial planner title

Ontario regulator takes another important step in investor protection with approval of licensing and designation-granting entity

FSRA unveils third credentialling body for financial planner title

Helping advisors face the 'forgotten younger brother' of KYC

Mako Financial Technologies founder and CEO lifts the lid on firm's project under OSC's innovation initiative

Helping advisors face the 'forgotten younger brother' of KYC

Investor advocate renews call to give OBSI teeth

Open letter to CSA highlights urgency of decision-making mandate to address investor complaints

Investor advocate renews call to give OBSI teeth