Navigating the Complexities: Understanding Fiduciary Duty and Discretionary Authority in Investment Advisory
In the realm of investment advisory, fiduciary duty plays a crucial role in defining the responsibilities of financial professionals....
Feb 154 min read
Increase in Regulatory Complaints and Inquiries received by IIROC between 2020 - 2022
IIROC recently released statistics with respect to complaints and inquiries statistics for the period from 2020 to the end of 2022. It is...
Mar 20, 20233 min read
Issues with Fee Based and Managed Account platforms still exist after so many years
In December 2016, IIROC initiated a review of compensation-related conflicts and found recurring themes and concerns. Although disclosure...
Mar 20, 20233 min read
