The CSA warns the industry against abuses as bans loom for trailers, DSCs
FCA consulting on improvements to retail investment markets
OSC report details improvement, along with persistent compliance issues
The inadequate supervision involved suitability, concentration in sector funds
Regulator seeks to address concerns about client over-concentration
Royal commission found clients charged for advice they never received
The search for higher returns is leading investors to fraudulent or unsuitable products
Review will examine implementation of MiFID II requirements
Firm failed to question sales on risky exempt securities to certain clients
ShelfMonitor scans for changes to investment products