In case you missed it: news and insight on compliance exams, signature falsification, and the proposed ban on embedded commissions from the Independent Financial Brokers of Canada Toronto Summit in Mississauga, Ont., Nov. 7-8. Photo copyright: rgbspace/123RF and kasto/123RF.
November 7, 2017The regulator will begin sending out questionnaires to some advisors who are deemed to be higher risk to determine if they need a more in-depth compliance review
Banning commissions could reduce access to financial advice while proposed tax changes could have a severe impact on business owners, Joe Oliver argues
Infractions range from the use of blank forms signed in advance by the client to actively signing the client’s name
IFB Academy gives financial professionals the opportunity to earn CE credits by taking online courses
Follow our coverage of Bridging Finance Inc., a portfolio manager and exempt market dealer based in Toronto.
We dive into the intricacies of ETFs and investigate how the market is responding to recent trends.
The cease-trade order on all 11 ETFs from Emerge Canada Inc. represented the first time such an order had been placed on a family of…
