In part four of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, discuss why advisors can be sued in retirement, and explain steps you need to take to ensure you are not at risk.
Regulator requests monetary penalties, disgorgement, costs and market bans
Insurance advisors answered multiple-choice questions about their industry experience for this inaugural research
Housing costs are a growing worry, BMO index finds
New funds hold several big names found in broad U.S. stock indexes
SRO launches review of policy framework for the provision of advice
If firms’ processes work for ETFs but not for proprietary, illiquid or complex products, then the reforms have failed
Agency encourages taxpayers to add the extra layer of security ahead of tax-filing season
This is the highest monthly foreign investment in Canadian securities since March 2022