Former Nova Scotia lawmaker lands senior business development job
A former advisor is now admitting to IIROC that he broke the industry's cardinal rule, not once or twice, but three times.
Advisors courting clients in the 60s and 70s may have lost sight of a real opportunity to grow their book of business, according to new research, tossing conventional thinking on its ear.
A number of consumer groups came down hard on the SEC last week delivering a tersely written letter to the chair of the U.S. securities regulator for failing to protect retail investors.
One of Canada’s top independent family offices took home the hardware last week winning a prestigious award at the 2015 Family Wealth Report Awards.
An IT manager from Mississauga is in hot water with the OSC following accusations of insider trading and tipping in advance of a deal that netted him and another $80,000.
A prominent industry player argues why the fiduciary standard and suitability standard can successfully co-exist. But before advisors operating under the latter standard jump for joy it’s important to understand why.
A day after transactional advisors spoke out against a panel’s recommendations on banning embedded commissions, a member of that group is defending the call as the best way of protecting investors from “glorified salespeople.”
A new report released Thursday suggests regulators are flying blind when it comes to overseeing one of Canada’s biggest capital markets.
Stats Canada shines the light on a problem that has industry players divided as to what it means.
In an ironic twist, embedded-commission advisors are standing with the OSC in appearing to reject calls for a speedier review of trailer fees.