The self-regulatory organization is also considering an expansion of the service that would allow it to distribute data for bulk download for a fee
The SRO is also redesigning the official brochure that firms will be required to distribute to new retail clients when they open an account early next year
The two organizations have launched a series of four videos on both their websites that advisors could use to educate their clients
The firm admitted to shortcomings in its oversight of several advisors after they ran into regulatory trouble of their own
The move is being made in anticipation of “the potential for increased volatility” resulting from Donald Trump’s election victory
The SRO points out that the advice these firms are providing is helping to fill the “advice gap” some clients may be experiencing
As part of the agreement, the two organizations will be able to improve information sharing and co-operation to protect investors
Suitability continues to be a major issue as it accounted for half of the prosecutions against individual registrants in 2015
Yu Qiong (Kevin) Li, who was formerly with TD Watherhouse Canada, was also banned permanently and ordered to pay costs of $15,000
The regulator dismissed Krishna Sammy’s application after failing to meet the new deadline of Oct. 15