The life licence course includes material on compliance and regulation, but some advisors may not be required to update their training
Firms with history of misconduct identified on BrokerCheck system
Almost half of high-risk agent reviews found best-practice failures
The Quebec regulator also plans to improve complaint handling and financial literacy
Regulator will issue penalties, without hearings, for minor rule violations
Regulator's new guidance to take effect in May 2024
Regulator addresses criticism of its agenda in revised priorities
Firm fined for operational failures, service and supervisory issues
Federal Reserve, Treasury fine bank for lapses that enabled U.S. sanctions breaches
Regulator alleges the company told U.S. investors how to avoid controls