CIRO, CSA to publish joint report on CFR sweep in first half
Proposals aim to boost investor protection around proprietary fund sales
Regulators cite concerns about high-pressure sales tactics in bank branches
Exam division details compliance priorities for year ahead
Regulators has concerns about conflicts, consumer value and competition
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
Should insurance be offered by advisors as part of a holistic financial plan or sold as a complex product by expert salespeople?
Regulator seeks to extend regime to portfolio managers
Regulators seek to combat fund industry greenwashing risks
Bank to pay $22 million while denying fund manager's allegations