Client-focused reforms

Big banks take heat at Senate hearing

Regulators lament shrinking shelves, eroding support for junior issuers

By James Langton |March 27, 2026

3 min read

Cost transparency is coming — 5 implications and 3 big takeaways

By Mike Banham |February 26, 2026

3 min read

Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff

By Staff |February 17, 2026

3 min read

Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance

By Alisha Hiyate |January 29, 2026

7 min read

Clients walk into bank branches expecting access to a mix of competitive products — that’s not what they get

By Harvey Naglie |January 13, 2026

4 min read

Review documents failings in meeting KYC, KYP, suitability requirements

By James Langton |December 10, 2025

3 min read

Regulator publishes draft priorities, highlighting competitive concerns

By James Langton |November 28, 2025

3 min read

Findings put bank branches’ proprietary shelves back in the spotlight, highlight lack of MER knowledge

By Michelle Schriver |October 29, 2025

7 min read