Industry News

2 ways to bolster stress testing

Canada’s financial system isn’t immune to downturns, so risk management measures need to continuously evolve.

By Katie Keir |November 4, 2016

3 min read

How’s your client communication?

You told us how CRM2 has affected your relationships.

By Staff |November 4, 2016

1 min read

How to blow the whistle

Are you prepared to participate in the OSC’s new program?

November 4, 2016

7 min read

IIROC proposes requirements for order execution only firms

IIROC today published for comment proposed guidance setting out expectations and requirements for all IIROC-regulated firms engaged in order-execution only (OEO) activities. OEO firms provide investors who are comfortable making their own investment decisions with a low-cost alternative to the traditional advisory account. When an OEO firm accepts a client order without providing a recommendation, […]

By Staff |November 3, 2016

1 min read