Regulation

Advisors chew over regulators’ warning on industry awards Fallback Image Decorative pattern

Regulation

Advisors chew over regulators’ warning on industry awards

Even award-winning advisors see merit in the crackdown on pay-to-play and sales-based accolades

By Melissa Shin |August 21, 2023

5 min read

B.C. court upholds ruling in advisor’s favour Fallback Image Decorative pattern

Regulation

B.C. court upholds ruling in advisor’s favour

Investor misunderstood difference between advisory and discretionary accounts, court found

By James Langton |August 11, 2023

2 min read

Regulators heed plea to push back trade-matching deadline Fallback Image Decorative pattern

Regulation

Regulators heed plea to push back trade-matching deadline

CSA ruling helps T+1 push, industry says

By Staff |August 11, 2023

2 min read

New FCA regime good for clients, tough on firms New FCA regime good for clients, tough on firms

Regulation

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

By James Langton |August 3, 2023

3 min read