The Investment Dealers Association is proposing amendments that would update its rules regarding new client application forms. The objective of the proposed amendment is to move away from the ...

An IIROC hearing panel has fined an advisor $70,000, and suspended him for three months, for using predetermined investment profiles for clients, which represents a due diligence failure, and for ...

With the growing use of digital technology in practice, mental health professionals (MHPs) need to navigate the complexities of client privacy and technology when considering whether and how to gather ...