SRO ordered US$48.1 million in monetary penslties in 2022
Follow these tips to protect your licence and reputation
Compliance sweep uncovers issues with identifying, disclosing and managing conflicts of interest, including conflicted compensation
Demonstrate and discuss your regulatory requirements with clients, IFB says
Regulators ask lawmakers for action on investment fund costs
Small, straightforward tech solutions can have big payoffs, OSC TestLab finds
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