Regulator sets supervisory priorities for credential providers
Legal and technical challenges must be overcome for automated contracts to pay off, Moody's says
Regulators fined firms a total US$549 million for record-keeping failures
Margins, profits to be squeezed as consumer protections boosted
Regulators found firms are failing to identify and manage conflicts in clients' best interests
The CSA and CIRO will consider such awards a compliance issue
Compliance reviews exposed gaps in firms' anti-money laundering controls
Report on industry conflicts to be published soon with CSA, CIRO
BCSC orders eight-year ban, alongside $60,000 penalty
Firm admitted to serving retail investors before SRO approvals, systems in place