Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
Should insurance be offered by advisors as part of a holistic financial plan or sold as a complex product by expert salespeople?
Regulator seeks to extend regime to portfolio managers
Regulators seek to combat fund industry greenwashing risks
Bank to pay $22 million while denying fund manager's allegations
Advisory and customer service functions are among the most advanced AI uses, a report says
Former firm provided reps with improper incentives, regulator alleged
Conflict of interest concerns spark regulators' review
Ban should apply in provinces that have yet to announce it, regulators say
SRO expels brokerage over widespread regulatory violations