Investment advisers violated revised marketing rules, regulator alleges
Regulators' year in review also detailed crypto oversight, CFR sweep
Alongside Kevin Gopaul's recent exit from BMO GAM are advisor and senior-level moves
Former firm provided reps with improper incentives, regulator alleged
The association extended its line of credit, got a loan and tapped into its $5.5-million reserve fund
Even award-winning advisors see merit in the crackdown on pay-to-play and sales-based accolades
Regulator sets supervisory priorities for credential providers
Advisors should be as thorough as possible when going through insurance applications with a client
Leaders need to build a sense of community on their teams and ensure members feel valued
The CSA and CIRO will consider such awards a compliance issue