The death of independent dealers was greatly exaggerated
Bank hit with $400-million penalty from the U.S. federal banking regulator
New guidance includes reforms adopted under Bill 141
The organization is recognizing the education and skills that CFAs already possess
The Registrant Advisory Committee provides industry input on the OSC's policy work
Regulators seek whistleblower tips on short selling ahead of new offerings
FCNB consults on program to return lost money to rightful owners
OSC report details improvement, along with persistent compliance issues
Regulator seeks to address concerns about client over-concentration
Effective compliance measures mean you’re less likely to lose clients