Firm failed to reveal conflicted fee payments, regulator charged
IFIC outlines current initiatives, from supporting CIRO to surveying investors
New rules aim to improve transparency, investor protection in private fund market
Robo-advisor violated rules when touting hypothetical performance
Real talk about fees and value is good for business
Latest settlement brings penalties in DoJ cases to over US$36 billion
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
Bill C-42 would bring public access to private corporations’ beneficial ownership info
Marketing company gets first-ever penalty for deficient advertorial disclosure