Clients lost more than $1.5 million on rep's failed fintech venture
Industry divided on, investor advocates opposed to, reforms
Terms of firm's sale weren't fully disclosed to regulators
First oversight review finds SRO complying with recognition order
CIRO firms exempt from new standards for Quebec financial firms
SRO publishes playbook for dealing with growing cyber threat
Study participants preferred to rely on the knowledge of professionals rather than learn about investing
Regulator calls for continuity plans at one-man shops
SRO consults on options for resolving long-standing regulatory disparity
Firms are puzzling out how to balance significant overhead costs with advisor support