Regulatory bodies recovering costs in the form of fees never sounds like good news, but in this debt-market case IIROC says the investor wins
A wealth management firm has been slapped with a hefty fine after failing to adequately conduct Tier 2 supervision
A hearing has been scheduled for October 29 by the Investment Industry Regulatory Organization of Canada (IIROC) to consider a settlement agreement proposed by Industrial Alliance Securities (IAS) over alleged client transactions executed outside the bounds of “good business practice.”
Despite the team’s success, not all Ticats are in a celebratory mood. The OSC is now moving to win a permanent ban for one former Ticat turned advisor
Canada’s brokerage industry regulator has fined Scotia Capital $500,000 over a breach of rules concerning eligibility of investors to participate in certain offerings
Advisors focused on maximizing returns and revenue are selling even reluctant clients on an asset mix made famous by an lvy League school.
A pair of veteran advisors -- finalists for the Wealth Professional Awards -- have chalked up win after win with a method others are only now adopting.
Connie Craddock of Ontario Securities Commission Investor Advisory Panel is on Wealth Professional Canada's Hot List of 2015.
The roster of big names behind start-up says something about the future of the industry in Canada.
A new list tallies the names of advisors who have yet to pay fines.