Regulators say suitability assessments and disclosure aren't adequate for firms that deal only in proprietary products
The CSA and CIRO will consider such awards a compliance issue
Report on industry conflicts to be published soon with CSA, CIRO
Inheriting a client doesn’t mean cutting corners with KYC
Gravitas Securities suspended after repeated shortfalls, failure to file financials
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
Demonstrate and discuss your regulatory requirements with clients, IFB says
European Securities and Markets Authority seeks to curb investors' fund costs
Regulator will issue penalties, without hearings, for minor rule violations