Association has made no provision for $2.6 million in ongoing legal claims
The rules are in code. Here’s how to crack the code
Self-regulatory organization reported year-over-year decline in decisions and sanctions
Investors enjoy DIY investing, relying more on social media for information
CIRO survey finds investors relying on social media, ranking it as worthy as traditional advice
Designation holders have six months to obtain a different credential to use the financial advisor title
SRO says post-pandemic rules facilitate flexible working models
Secret shopper exercise highlights the need to align client goals with appropriate investments
The regulator also wants to toughen enforcement and see better advice given at banks
Deal includes 16,000 accounts, $2 billion in assets, 30 advisors