Clients lost approximately $1.2 million in aggressive investment strategy
Although the initiative is intended to verify the accuracy of information, some advisors are concerned
Sale of Promittere shares raises disclosure and suitabililty concerns with MFDA
Wealth management firms, advisor must adapt
$1.5 million misappropriated from six clients, IIROC says
2011 was a record-setting year for the SEC’s enforcement division
CSA responds to feedback from stakeholders in consultation paper due next week
Employees could be inadvertently sharing competitive or confidential information
Regulator will contact some clients directly to confirm KYC information on file
Funds feed growing appetite for income-based products