Review to look at results of efforts to add sustainability factors to suitability, product governance requirements
Brokerage, owner admitted to various contraventions of mortgage rules
Almost half of high-risk agent reviews found best-practice failures
A FSRA review resulted in 445 letters of warning for failing to complete continuing education hours
Elevated redemptions from illiquid funds highlight possible suitability risks, Fitch says
FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections
Fines levied against reps last year soared to $7.9 million from $938,000 in 2021
The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers
Advisors must show that clients understood an investment and its risks
Firm settles IIROC allegation of inadequately supervising new-issue trading