Ex-advisor violated industry regulations: IIROC
A former advisor, who faces first-degree murder charges, has been accused of violating several industry regulations the Investment Industry Regulatory Organization of Canada has concluded.
Flaherty's resignation no surprise to some advisors
Advisors are disappointed to see one of Canada's longest serving finance ministers go, and hope the man next in line will pick up the reigns without a hitch.
Should you manage your client's estate?
Taking on the role as executor can rake in some extra cash. But should an advisor get mixed up in divvying the inheritance? One Toronto advisor doesn't think so ...
Top advisors transfer to Dundee
Upon approval by IIROC, a transfer of more than 60 investment advisors will take place in March, according to the firm.
IIROC releases Deutsche Bank settlement funds
IIROC has released and distributed additional settlement funds to eligible investors who purchased third-party asset-backed commercial paper from Deutsche Bank Securities.
IIROC fines two ex-reps a combined $2.5m
IIROC has fined two former dealers a combined $2.5 million and permanently banned them for selling inappropriate products and acting against the interest of clients.
Quebec, Alberta advisors would welcome national regulator
Although the Quebec and Alberta governments remain the biggest hurdles to a national securities regulator, advisors in the two provinces see advantages.
VCMA bashes industry and regulators
The Venture Capital Markets Association has unleashed a broadside at current regulators and industry groups, particularly IIROC, while coming out in strong support of the proposed national regulator.
Flaherty unites industry and investor advocates?
Both industry insiders and industry critics are applauding Finance Minister Jim Flaherty's big win in his quest to form a national securities regulator.
Macquarie buyout 'not a good thing for the market'
Richardson GMP's deal to acquire Macquarie’s Canadian business is a clear sign of a collapsing industry, says IIAC president Ian Russell.