Oct 24, 2022 | News
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...
Oct 18, 2022 | News
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...
Sep 8, 2022 | News
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...
Jul 28, 2022 | News
Introducing SEDAR+, the new web-based application for regulatory filings and issuer information in Canada. This short video provides an overview of the phased rollout of the new system, which provides an improved experience for all users, with new functionality and...
Jul 25, 2022 | News
“Best Kept Secret about KYC” By Ellen Bessner BABIN BESSNER SPRY LLP How important is the client’s investment knowledge/sophistication when determining suitability? Very important – Ellen explains that this criterion can impact both a judge’s and...
Jul 19, 2022 | News
2022 MFDA Compliance Credit – Available until: December 1, 2023 CE Credits: 1 MFDA Compliance Credit Language: English and French. Find out more
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