The SRO clarifies when material changes must be reported
After an advisor's death, his clients complained about trading activity in their accounts
The CSA's plan received broad support, but there's plenty of work to do on the details
Consolidated rules and enhanced governance will be part of the changes
The measures enhance market monitoring and investigations
In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers
Fund dealers' first CE cycle to kick off on Dec. 1
Industry firms have been targeted with campaigns impersonating regulators
New rules will enable firms to use temporary holds, seek trusted contacts to help protect vulnerable investors
Three questions to ask to protect yourself and your business