It was difficult to know how regulators would react when a Canadian firm wanted to launch its first-of-a-kind fund
The CSA’s report is an ‘I-told-you-so’ for fee based advisors, while embedded compensation advisors are on the defensive
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.
The scandal that’s plaguing the global soccer scene has now put the spotlight in an unflattering way on financial advisors, everywhere
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.”
Toronto-based firm announces acquisition of investment firm with $3 billion in AUM.
Tech stocks soar in US as Facebook sets new records – and there could be more to come
If Justin Trudeau follows through on his promise to legalize marijuana, clients will be gung-ho to invest in the growth industry, but are their wealth advisors?
New – gloomier – analysis on the future of North American oil may lead to a sea-change in advisor thinking on energy weightings
Fintech startups may be high up in the receiving line for stimulus spending under the new Liberal government
The anticipated report on embedded commissions versus fees is highlighting the role investment choices play in decision-making