Forgery could cost ex-TD funds dealer $10m
Two missing signatures could have costly consequences for one mutual funds dealer who took it upon himself to fill in the gaps.
Richardson GMP open to further acquisitions - CEO
The head of Richardson GMP says that more acquisitions may be in the offing and that he has specific types of businesses in mind. Could your firm be a target?
Foreigners return to Canadian securities markets
Foreign investors resumed their acquisition of Canadian securities by adding $6.1 billion to their holdings in July, following a $15.4 billion divestment in June. Meanwhile, Canadian investment in foreign securities slowed to $0.9 billion and focused on bonds.
Ontario court rules in favor of bank in $1.6m compensation dispute
If you think performance shares are yours even if you leave the firm, a new Ontario ruling strongly suggests otherwise.
Five years on, the biggest change has been…
Canadian advisors are still grappling with the major consequences from the Lehman Brothers implosion, and on its fifth anniversary they’re revealing why the business may never again be the same.
How did Rosh Hashanah impact Wall St?
A piece of old Wall Street lore – that the ten day stretch between the Jewish New Year, Rosh Hashanah, and the Day of Atonement, Yom Kippur, is bad for equities – may have some evidence to support it. But is it a hard-and-fast rule?
Canadians no longer loyal to financial service providers
It's not in your head: The majority of your clients may now be willing to leave you at the drop of a hat, but one leading industry analyst argues the best retention strategy is the cheapest one.
Fight for your RIGHTS
By using this acronym you will be able to specify your client's needs, take a more concerted look at those needs, and remember what is important to your client
Regulator scolds disgraced mutual fund dealer
Maybe it is better to "go quietly into that good night" after all. A provincial regulator has upheld a lifetime ban and fines against a mutual fund dealer, scolding her for unnecessarily dragging out the appeals process instead of taking her lumps.
Canada high-net investors seeking alternatives
The industry is pushing to educate street-level investors about the booming alternative segment, even as retail advisors scramble to gain access.