Designed Securities
- December 3, 2021 April 8, 2024
- 12:21
John Novachis of IPC says advisors that don’t have a business continuity plan are rolling the dice with one of their biggest assets
John Novachis of IPC says advisors that don’t have a business continuity plan are rolling the dice with one of their biggest assets
Review flags issues with supervision of critical fund industry function
The monetary values of the settlement haven't been made public
The deal will add trust and estate, and wealth management capabilities to Edward Jones' Canadian business
Exam priorities no longer cite crypto as an emerging risk, or focus
New firm accepted into framework for facilitating trading in private securities
Shift to focus on material risks, away from procedural failings