Advisors talk about their hands-on experience using social media to deepen client relationships
Firms share insights on the steps they are taking to prepare their advisors to use social media for client communications, while steering clear of regulatory hurdles
Start your engines. With the regulatory landscape offering more guidance on the dos and don’ts of using social media, this may be the moment to get in the game
Approved person transfers, outside business activities and transferring leverage accounts
Ontario Securities Commission reviewing KYC process for accredited investors
Geoff Creighton, chairman of the Canadian Corporate Counsel Association, strives to connect the legal and business sides of financial services
Two new CSA notices provide clear guidance to assist issuers in preparing and filing exempt market documents
Riskier firms will be examined more frequently, regulator says
In part 4 of this series, Ellen Bessner, a litigation partner at Cassels, Brock and Blackwell LLP, argues that advisors shouldn't hide from their compliance departments. She spoke at TMX Broadcast Centre in Toronto.
Deficiencies found during Independent Accountants’ Investment Group compliance exam