Regulator set to name and shame advisors before trial
Toronto advisors have described a UK regulator's new policy on consumer protection as "chilling," saying it could tread on the rights of industry professionals in its quest for transparency.
Financial advisor allegedly 'bludgeoned' client to death
New and disturbing details emerged Wednesday in the trial of an advisor accused of defrauding and murdering his client.
OSFI changes could hit independent advisors
This latest move by the industry's federal regulator could hurt and not help independent firms now fighting to compete with the big banks.
Why are the banks restricting this investment opportunity?
Banks have pulled back on their willingness to facilitate mortgage investment as part of self-directed RRSPs -- a move with the potential to limit client access to this increasingly important vehicle.
OSC hands out hefty bans
A Mississauga exempt market dealer is the latest industry player to hold up its hand to having misled investors, choosing to settle with the OSC for millions in disgorgement as well as a hefty trading ban.
Help on the way for this investment sector
It was once the gem of Canadian advisors and their clients and now one regulator is focused on finding out what exactly can be done to restore the lustre of that key investment segment.
ETF growth set to accelerate - study
Canada's ETFs market has expanded 6% in 2003 and growth is set to further accelerate, a new report suggests.
Advisors go head-to-head with clients
Forget that hockey pool: Advisors -- surreptitiously, perhaps -- are expected to be among thousands signing up for a national competition to test the trading prowess of investors.
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.