IIROC comes down hard on dealer
It doesn’t happen very often but the SRO has given a big dealer more than a slap on the wrist for branch transgressions.
Quebec startups get $10m investment boost
Private equity firm XPND Capital, which is focused on growth investments in Quebec-based companies, said Monday it has received a $10 million participation in its XPNDCROISSANCE Fund from Investissement Quebec
Consumer suspicion hamper industry growth
New research is pointing to just how much work the industry has ahead of it in addressing a concern that continues to keep new clients from coming through the door
Are your clients happy enough?
Money can’t buy happiness, but it can help clients offload tasks that nibble away at it, says a noted psychologist challenging advisors to see their work in a different light
The key to creating shareable social media videos
Your social media video doesn’t have to include babies, celebrities or dancing to become immensely popular, according to Marcus Seeger. Read on to find out how to lift your social media presence to greater heights
Cummings report: Advisor reaction
The CSA’s report is an ‘I-told-you-so’ for fee based advisors, while embedded compensation advisors are on the defensive
Drugmaker’s fall makes case for diversification
The drug company’s cratering stock is an excellent example of why advisors avoid individual equity positions opting instead to put clients into mutual funds and ETFs where diversification cushions the blow.
Wealth planner among FIFA rogues gallery
The scandal that’s plaguing the global soccer scene has now put the spotlight in an unflattering way on financial advisors, everywhere
IIROC considers settlement for key player
A hearing has been scheduled for October 29 by the Investment Industry Regulatory Organization of Canada (IIROC) to consider a settlement agreement proposed by Industrial Alliance Securities (IAS) over alleged client transactions executed outside the bounds of “good business practice.”
CI makes huge acquisition
Toronto-based firm announces acquisition of investment firm with $3 billion in AUM.