IIROC and the CSA have provided new guidance to dealers
A review of dealers' policies on promotional incentives reveals gaps and shortcomings
The commission has reprimanded the portfolio manager for failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
Portfolio manager accused of failing to identify and respond to conflicts of interest in connection with WisdomTree ETFs
Report details key stages of capital raising where the role of intermediaries might give rise to conflicts of interest
Take these four steps to avoid mistakes that can cost advisors their livelihood
How will firms be able to address conflicts of interest in four common scenarios?
The SRO also plans to review the regulation of advice to ensure the rules enable innovation in the industry
Darcy Hulston posits that regulators may eventually crack down on the practice of advisors selling products their firms manufacture
The practice raises concerns regarding conflicts of interests for dealers and corporate governance for companies