Annual registration and other fee changes reflect a more complex industry, the regulator says
The Waterloo, Ont. woman received a two-year sentence in October
Advisor also made personal trades in a client’s account
Excessive commissions were generated in fee-based accounts
Misleading marketing materials and social media are among activities that concern regulators
The government has introduced securities legislation
The answer might surprise you
The settlement agreement follows a hearing examining alleged conflicts
The case offers a cautionary tale for book sales
In its March report, the watchdog found ``insufficient'' controls in place to prevent sales of unsuitable financial products