Association also tightens compensation disclosure requirements
Review documents failings in meeting KYC, KYP, suitability requirements
SRO alleged investors paid US$2 million in fees for short-term sales
Compliance review will examine industry conflicts with investors' interests
Firm paid $4.6 million in client compensation, clawed back reps' fees
Measure benefits teens, students, Indigenous people and those with disabilities
Market environment remains supportive for 2026, but downside risks persist
Pair stole millions from clients, including vulnerable investors
Firms falling short of regulator's expectations under investor duty
Fee disclosure, conflicts of interest, consent pose investor protection issues