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
Court orders thousands in restitution for victims in real estate investment transactions
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
