SRO satisfied firm will put in place appropriate disclosure, policies, procedures and controls
A weaker outlook for 2019 will likely lead more firms to leave the business
Each party has different roles and responsibilities, and different regulatory obligations, to the client
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees
Veteran advisor Les Sherman makes the switch
Investment dealer will sharpen focus on Canadian operations where growth opportunities are greater
Partnership will help dealer meet the growing needs of global family offices
The new visual identity comes as the company has substantially increased the scale of its global wealth management operations
Canadian firms could face onerous withholding and backup reporting requirements