Marketing tactics by crypto firms are raising concerns with CSA and IIROC
North American body adopts diversity, inclusion policy
The online event on Oct. 13 will focus on diversity issues for frontline staff
Loss of third-party fund distribution seen as "unintended consequence" in 2018
Fees as a share of industry revenues and profits have continued to decline
Revised KYP and product due diligence guidance accompany the rule changes
IIROC's guidance on CFR requirements should include more information on risk, dependants and ESG, submissions say
The ruling includes investment limits, disclosure rules and regulatory reporting conditions
The SRO clarifies when material changes must be reported
After an advisor's death, his clients complained about trading activity in their accounts