The advisor, Gilles Robert Latour, was also banned permanently for soliciting and failing to repay loans from senior clients
The CFPB is warning financial services firms to avoid using sales incentives that encourage employees to put consumers into inappropriate products
Proposed rule aims to simplify the framework governing certain real estate distributions
Lucie Tedesco, who has been vice chairwoman of FinCoNet since 2013, was appointed to a three-year term as chairwoman earlier this month
Signature-related shenanigans is an issue fro the CSA
The SRO is also redesigning the official brochure that firms will be required to distribute to new retail clients when they open an account early next year
The rules that securities commissions in Alberta, Manitoba and New Brunswick are proposing are already in place in Ontario and Quebec
The regulator’s notice examines several financial reporting issues, such as the use of non-standard accounting metrics
Beyond the growing direct impact the sector is having, it also serves as a catalyst for growth in other areas of the economy, a new report points out
The impact of changes in U.S. economic policies remains highly uncertain