New program targets workplaces in Canada and the U.S.
State regulators have published a proposed policy on the use of electronic offerings, and electronic signatures
For first time, report shows more actions brought against registered securities industry members than non-registered individuals
Cybersecurity, enforcement and seniors are top priorities for the year ahead
Publication aims to help protect senior clients from the adverse consequences of financial exploitation and diminished capacity
The product most commonly associated with potentially unsuitable recommendations is variable annuities
The anti-exploitation program will now include training for employees of banks and credit unions
State securities regulators to offer training to broker-dealers and investment advisors
The act will create incentives for advisors to report possible exploitation as soon as possible
Investors reminded to approach unsolicited offers with caution
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