Will you pass this background check?
The CSA is now pushing investors to do background checks on prospective advisors, at the same time arming those would-be clients with two new and powerful weapons.Will you pass this background check?
Advisors conquer Kilimanjaro for charity
A group of Canadian advisors successfully scaled Mount Kilimanjaro, Africa’s highest mountain and one of the Seven Summits, raising $50,000 for Tanzanian street children.
Jailed fraudster fined $500k
The OSC has fined convicted a fraudster $550k and permanently banned him from trading and holding related positions.
Things five leaders can’t do without
Heading on a business trip soon? Not sure what to pack? Take your lead from these five business leaders who know exactly what they need to include in their suitcase
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.
Canada's wealthy feel better off now than pre-crisis
High-net worth Canadians believe they are more financially secure today than they were before the 2008 recession, but they don’t feel as secure as their U.S. counterparts.
OSC lays out $1.4m in penalties for incompetence
Ignorance of the law is indeed no excuse, according to Ontario regulators handing down penalties of more than $1.4 million over a "shocking level of negligence and incompetence."
Are you being replaced by robots?
Professionals in the financial services industry may be in danger of a robot take-over. What's so much better about computerisation and is your job at risk?
Canadians ambivalent on trailers, would dump advisors if fees high
A slim majority of Canadian mutual fund investors would prefer that advisors are compensated by built-in fees, while many would leave an advisor if fee compensation resulted in higher costs.
Dundee makes strategic investment in Canadian National Exchange
Dundee Corp announced a strategic investment in Canadian National Stock Exchange, replicating an announcement made four years earlier by Dundee Wealth, the wealth management unit now owned by Scotia.