Jean-Philippe Lemay explains why the firm added close to 80 years of industry experience with three key additions
It’s a growing demographic that both IIROC and IIAC advisors may have blinded themselves to, affording flat-fee players the opportunity to slide right on through.
Shoddy paperwork leads MFDA to lay big fine against former advisor
In a three-page letter addressed to Barbara Amsden, Managing Director of IIAC, the Canadian Securities Administrators have held out an olive branch. But is it enough?
Victims of an alleged investment fraudster have now seen the net widen to cover the accused’s spouse. Does it signal the growing tenacity of provincial authorities?
What’s in a title? Increasingly it had better be accuracy, according to IIROC, who are preparing to get tough on firms that allow advisors to imply an expertise that simply doesn’t exist through the use of misleading job titles and/or designations.
Everyone seems to be courting the big hitters missing out on the comfortable client.
The results are in from November’s sitting of the CFP exams. Some will be happier than others.
Victoria-based proponent of these investments suggests the rest of the mutual fund industry having a hard time keeping up.
IIROC comes down hard on Alberta man for laundry list of transgressions.
OSC levels an order against Wealth Stewards Portfolio Management Inc. Another advisor with a similar name makes the best of a bad situation.