Among investment industry clients, there’s an unmet demand for advice and growing dissatisfaction with industry compensation mode...
CN Editor
August 28, 2019
CONCERNS FOLLOW REGULATORS" SURVEY OF MUTUAL FUND REPS
CIRO ISSUES UPDATES ON PROPOSED INCORPORATED ADVISOR RULE AMENDMENTS
IA FINANCIAL"S ACQUISITION OF RF CAPITAL TO CLOSE THS WEEK
FCA PROPOSES REFORMS TO SHORT-SELLING RULES
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS