Individual advice rules are hampering household planning

Association seeks approach that considers households with multiple financial goals.

INVESTMENT | October 02 2024 03:25PM
Response critical of regulator’s proposed fee model

Consultation rushed, missing information and suggests most will be paying more.

INVESTMENT | June 26 2024 10:28AM
Regulator probes investor’s concerns in recent survey

Many believe social media influencers’ opinions are as valuable as an advisors’.

INVESTMENT | June 06 2024 10:39AM
Dealing representative sanctioned for discretionary trading

Fine and costs ordered following close supervision for not obtaining fulsome instructions.

INVESTMENT | May 29 2024 03:57PM
Recruited advisor terminated after divulging that he copied client signatures

Regulator sanctions former dealing representative for forms that weren’t used.

INVESTMENT | May 28 2024 10:38AM
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Abuse of incentive program ends in one year suspension and fine

Representative received bonus for pandemic changes, was terminated the following year.

INVESTMENT | May 24 2024 03:56PM
Repeated off-book activity results in sanctions

Company also fines portfolio manager for insubordination.

INVESTMENT | May 22 2024 03:51PM