Advisor time constraints, attrition are controllable factors
Use these three steps to deal with clients who insist on unsuitable investments
Advisors should conduct independent analysis, educate clients, write detailed notes
Poorly designed KYC questionnaires at the heart of recent enforcement actions
Risky firms, crypto platforms add to compliance division's workload
Benchmark reform creates opportunity for vehicles that flopped in the financial crisis
A sneak peek at an upcoming CE course shows three time frames are key to recommendations
Crypto platforms get until Oct. 31 to meet CSA's interim rules
Appeal Court finds alleged fiduciary duty breach can be basis for class action
Decision on tougher investor protection measures coming by end of 2025