Regulator's compliance reviews find issues with performance reporting
Regulator aims to facilitate compliance with new regime
Advisory and customer service functions are among the most advanced AI uses, a report says
European regulators flag growing greenwashing risk
Two portfolio managers explain why their podcast has run successfully for more than five years
Investment advisers violated revised marketing rules, regulator alleges
U.K. regulator gives compliance extension to some firms, threatens others with enforcement
Former firm provided reps with improper incentives, regulator alleged
Robo-advisor violated rules when touting hypothetical performance
The CSA and CIRO will consider such awards a compliance issue