News

Firm fined $130,000 for compliance failures

Company voluntarily reported supervisory errors that resulted in overcharging nearly 500 clients a total of more than $190,000

Why elite advisors know true value of client feedback

Road to success requires you to be bold and ask how you can get better, says expert

Three firms join forces for private markets partnership

Acquisition vehicle commits $700 million to fund manager's products over next two years

Stock-market sputter may be a harbinger of growing volatility

AGF CEO explains why dynamics driven by tech-sector clout, COVID-19, and self-directed investors create recipe for uncertainty

Features

The best thinking in alts, acquired and deployed

Portfolio managers share their bleeding-edge investment approach, now made available to mass market by TD Asset Management

Stepping forward as an asset allocation partner

TD Asset Management has a long history of success in asset allocation, now they’re adding new innovations and an improved partnership experience for advisors

'My contribution has been different than most'

Past WP ETF award winner speaks out on significance of current nomination and how industry is reaffirming its strength

People moves

FP Canada chief to retire next June

President and CEO of professional financial-services body has overseen significant changes during long tenure

Regulators

CSA shutting the door on trailing commissions for OEO dealers

Securities regulators announce final rules to implement a ban aimed at improving investor protections

Advisor fined, suspended for mismanaging late mother's accounts

Respondent pursued high-risk investment strategy as mother suffered from declining health and symptoms of dementia

Magazine

Wealth Professional 8.07

Investments

Three firms join forces for private markets partnership

Acquisition vehicle commits $700 million to fund manager's products over next two years

TD enhances sustainable fund suite

New funds offer exposure to North American equity and bond securities that align with the UN’s Sustainable Development Goals

To understand alts today, learn their history

Upcoming WP Advisor Connect event will cover the evolution of alts and one speaker explains why that's a crucial story to know

Vanguard launches one-ticket retirement income ETF

Firm augments line-up of asset-allocation funds with monthly income solution geared toward retirees

Private asset management firm debuts real estate fund

Fund with $150 million raised will focus on opportunistic and distressed real-estate assets