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FCA sets out approach to supervision and enforcement

Two documents outline how the U.K. regulator fulfils its objectives through supervision and enforcement activity

  • By: IE Staff
  • March 21, 2018 March 21, 2018
  • 13:00
Folders with the label Retirement Plan and Pension

Ontario’s public service pension plans logs 10.8% return in 2017

The return came as the Ontario Pension Board continued a strategy of shifting assets from public to private markets last year

Toronto bank towers

FCAC says controls to mitigate sales risk at banks “insufficient”

The consumer watchdog reviewed business practices across Canada’s Big Six banks

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RBC opens API developer portal

The bank aims to create new tools and experiences for clients by providing external developers access to select RBC application programming interfaces

Manitoba Legislative Building in Winnipeg, Manitoba, Canada

Manitoba moves to strengthen IIROC’s ability to collect fines

Quebec, Ontario, Alberta and PEI have already provided authority to IIROC to enhance its collection abilities

  • By: IE Staff
  • March 19, 2018 March 19, 2018
  • 15:45
Queen's Park, Ontario legislature, exterior

Ontario one step closer to regulating financial planners

A new consultation paper invites comments on proposals that would restrict the use of the title “financial planner” to those with the necessary proficiency or licensing requirements

OSC Dialogue 2017 to feature FCA, SEC executives

IE’s Calendar of Industry Events

Helping advisors find opportunities for accredited continuing education

  • By: IE Staff
  • March 20, 2018 March 20, 2018
  • 11:30
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    Senior people walking on the beach

    Slideshow: Major challenges facing seniors

    The Ontario Securities Commission’s Senior Strategy aims to address the changing needs and priorities of older individuals

    Women still need help understanding finances

    FPSC study reveals that many Canadian women have “very little” knowledge about finances while more than half don’t have a written financial plan

    Court case reveals risks in gifting assets

    Setting up a trust or buying an insurance policy could offer protection for clients' families without putting assets at risk

    Why referrals are declining

    Reports from financial advisors and industry data indicate that clients are not referring their friends and family members as frequently as they did in years…