FP Canada beefs up enforcement
Allegations will now be published in advance of disciplinary hearings
Allegations will now be published in advance of disciplinary hearings
OSC could see split roles for chair & CEO
Time to think bigger on SRO reform?
A goal for the final report is to spur more independent dealers
Deadlines to implement the client-focused reforms were extended, and dealers are working out how to comply with the new requirements
Adapting to the pandemic has revealed new efficiencies
From e-signatures to artificial intelligence, regulators are trying to get ahead
Nizar Esmail has lived through market swings and helps his clients find opportunities during times of turmoil
While your compliance department may seem as if it’s working against you, compliance is essential to protecting your clients and your business
China, Korea and Taiwan have proven resilient, but India continues to struggle
The ETF market has diversified significantly in recent years
Canada ranks eighth in the world for issuance of the products
Editorial: Recent consultation on reforming the SRO framework reveals that a full-scale renovation is needed
More seats come with more problems as the province tackles financial and environmental challenges
