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Keyword: Suitability

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Close up of an executive hands holding a pen and indicating where to sign a contract at office

The OSC says there is a lot of room for improvement in its 2019 summary report

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The shortcomings may be addressed through the CSA's client-focused reforms

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Clients were advised to concentrate their holdings in precious metals sector funds

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Referral cases more than doubled from 2018 to 2019

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Rep recommended and implemented extensive margin use for two retired clients

  • May 9, 2019 October 7, 2019
  • 14:00
Closeup of mallet being hit on stacked coins at table in courtroom

The former broker admitted to recommending unsuitable high-risk investments to multiple clients

tax inspector investigating financial documents through magnifying glass, forensic accounting or financial forensics, inspecting offshore company financial papers, documents and reports.

The SRO issued a report Wednesday analyzing data from its client research project

The competition saw student teams evaluate the ethical dilemmas in a case study indicative of issues investment management practitioners face

  • By: Leah Golob
  • June 16, 2017 December 19, 2017
  • 10:49

The panel discussion was recorded at the 2016 IIROC compliance conference in Toronto

High-risk investing is not a band-aid solution for clients who have not saved enough for retirement