Ontario’s government intends to work with the province’s financial regulators on many of the Expert Committee’s recommendations
Advisors in the province subject to disciplinary sanctions will no longer be able to evade their fines simply by leaving the industry
Committee proposes restrictions on the use of advisors' titles
Regulators' report card
Survey suggests more women than men are confused by financial jargon, and women tend to avoid investment risk
Many of the increases in regulators' ratings suggest dealers understand the tough job the regulators have to do. (Includes chart.)
Regulators earn kudos for creating pertinent resources and connecting company executives to knowledgeable people on the ground
Some describe the investigative process as a "witch hunt." Others believe enforcement teams consider each situation carefully
Some firms are dropping more and more of their smallest clients. Other firms adamantly oppose the practice
Many say the industry should be acting in clients' best interest - and regulators should introduce a standard that would apply to dealers and advisors
Compliance officers (COs) and company executives in Canada's investment industry shared their views about the regulators that oversee their businesses once again
Experiences in Australia show that initial concern for regulatory reforms will give way to growth down the road for the financial advice business, head of…
Being open with auditors will help them go the extra mile and be as flexible as they can on certain mandates
Active ownership helps create long-term value for investors.
As resources run out and companies turn away from the depletive economy, opportunities run in — and Impax’s Luciano Lilloy is snapping them up for…
With investors growing cautious toward historically expensive risk assets, defensive sectors are attracting renewed capital inflows. Skyline breaks down the current environment and explains why…
Have You Thought About What Season Your Practice is in?
HNW clients want guidance on the complex challenges that wealth can bring
Referrals are key to boosting your roster of HNW clients
The nature of private apartment funds means they can complement your client’s traditional investment portfolio.
Boosting advisor productivity in Canada through integration, innovation, and global best practices.
Head of Compliance for WFGIAC April Stadnek shares her perspective on the growing need for financial protection among Canadians, and how WFG supports its advisors…
A video breakdown of the 2025 Report Card on Banks themes
Paying the bills and growing their careers were priorities for the Big Six’s branch planners
But banks’ big mutual fund fees are, investor advocate says
Regulator requests monetary penalties, disgorgement, costs and market bans
Insurance advisors answered multiple-choice questions about their industry experience for this inaugural research
Housing costs are a growing worry, BMO index finds