The advisor's client was mentally incapacitated, and her son made unauthorized trades in her account
The SRO is working on standardizing, reorganizing and updating its guidance
The court ruled the bulk of the lawsuit exceeded the limitation period
The SRO says it’s working on aligning its rules with the CFRs
Advisors could face suspensions if their firms don’t report credits on time
The complaints must be “retrievable within a reasonable time”
IIROC has found that three quarters of current investors say they need financial advice to come from a human
Talk of merging the SROs has surfaced repeatedly over the years
Sixty per cent of respondents said they weren’t confident in their ability to make investment decisions
The proposal is aimed at preventing insider trading