Regulatory settlement? Inform yourself!
Understand how a settlement can unexpectedly affect you
- September 17, 2021 September 17, 2021
- 15:00
Top stories
Not all banks are cutting new purchases of third-party funds
CWB and Meridian will continue to offer outside products
- September 16, 2021 September 16, 2021
- 16:35
Discretion proves better part of valour for advisor
Court finds no breach when advisor didn't "sell in May and go away"
- September 17, 2021 September 17, 2021
- 16:24
PACE Securities CEO faces temporary ban after IIROC settlement
The settlement follows the firm's liquidation last year
- By: Michelle Schriver
- September 16, 2021 September 16, 2021
- 17:52
Madoff victims to see another payout
More than US$4 billion in total is expected to be returned to Madoff's investors
- By: James Langton
- September 17, 2021 September 17, 2021
- 10:13
Advisors may bump up thematic ETF exposure in 2022: survey
An Evolve survey suggests advisors are positive on ETFs as a whole, with thematic funds topping the list
- By: Katie Keir
- September 17, 2021 September 17, 2021
- 15:06
The challenge to differentiate wealth services
Advisors can offer a personalized experience through deeper client engagement
- By: Ian Russell
- September 15, 2021 September 13, 2021
- 15:00
IIROC will host panel on inclusion for advisors
The online event on Oct. 13 will focus on diversity issues for frontline staff
- By: James Langton
- September 17, 2021 September 17, 2021
- 13:51
SEC settles with RBC unit over bond allocations
So-called bond flippers prioritized over retail, institutional clients, regulator alleged
- By: James Langton
- September 17, 2021 September 17, 2021
- 13:43
Biden faces limits of $1.9-trillion Covid-19 aid as some states resist
White House officials harbour frustrations over the slow pace of distributing money for some of its programs
- By: Josh Boak, Zeke Miller, Associated Press
- September 17, 2021 September 17, 2021
- 12:53
RBC announces executive changes
The changes are tied to members of RBC's group executive committee
- By: Maddie Johnson
- September 17, 2021 September 17, 2021
- 11:24
Canadian investors pared back foreign holdings: StatsCan
Meanwhile, foreign investors continued adding Canadian securities in July
- By: James Langton
- September 17, 2021 September 17, 2021
- 11:06
Proposed sustainability board could be key for ESG reporting: Fitch
The proposed creation of the ISSB — potentially headquartered in Canada — could lead to a globally accepted ESG framework
- By: James Langton
- September 17, 2021 September 17, 2021
- 14:10
Insurers, regulators must prepare for possible future pandemics
Insurers and regulators alike should review existing capital rules, along with other risk measures
- By: James Langton
- September 17, 2021 September 17, 2021
- 10:33
Election 2021: Where the parties stand on financial issues
Here’s what's been proposed for financial institutions, taxes, housing and more
- By: Daniel Calabretta
- September 16, 2021 September 16, 2021
- 10:49
FAIR Canada blasts banks for trimming shelves
The advocacy group calls for action to preserve competition and protect investors
- By: James Langton
- September 15, 2021 September 15, 2021
- 15:16
IE’s Calendar of Industry Events
Helping advisors find opportunities for accredited continuing education
- By: IE Staff
- April 27, 2020 July 28, 2021
- 09:00
Making financial advice a family matter
Elke Rubach was a successful lawyer when she discovered her passion for helping people understand finances
Planning is key to securing digital assets
Clients should take inventory of all online accounts as their first step in creating a digital estate plan
- By: Maddie Johnson
- August 30, 2021 August 30, 2021
- 00:07
Losses in the time of Covid-19: Part 2
Help your business-owner clients who are disputing a tax loss with the CRA
- By: Marco Iampieri
- June 2, 2021 June 2, 2021
- 15:30
“Light planning” could expand access to financial advice
Creating shorter or less comprehensive engagements with clients may allow advisors to serve the underserved
- By: Melissa Shin
- April 29, 2021 April 29, 2021
- 18:47
