The OSC says there is a lot of room for improvement in its 2019 summary report
The shortcomings may be addressed through the CSA's client-focused reforms
Clients were advised to concentrate their holdings in precious metals sector funds
Referral cases more than doubled from 2018 to 2019
Rep recommended and implemented extensive margin use for two retired clients
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
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
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