There are many frauds and scams as fraudsters use this time of economic uncertainty to their advantage. But how do you spot a scam? And how do you know if an investment opportunity is...
A pump-and-dump scam is a type of investment fraud. Fraudsters artificially increase the price of a stock they own by encouraging other investors to buy it. Fraudsters then sell their shares; the price falls and investors lose...
Ellen explains how to assess client knowledge and support an advisor’s recommendations so that when they are faced with a client complaint and their recommendations are called into question by their firm, regulator, and OBSI or a judge, they will be armed with...
The Canadian Council of Insurance Regulators (CCIR) and the Canadian Insurance Services Regulatory Organizations (CISRO) have released for public consultation a discussion paper on upfront compensation paid for the sale and servicing of segregated funds and individual...
