Firm failed to oversee trading activity by a couple of its reps
Leverage strategy deployed on the down low resulted in hefty financial losses
Group seeks revisions to U.S. state rule that match SEC's Reg BI reforms
Approval regime, proficiency are among areas covered in latest consultation
Regulator details vision for retail funds that hold long-term assets
Use these three steps to deal with clients who insist on unsuitable investments
Advisors should conduct independent analysis, educate clients, write detailed notes
OSC finds investors favour human-AI combo, no fear of AI advice
Poorly designed KYC questionnaires at the heart of recent enforcement actions
Competition and regulation pressuring firms' margins, earnings