Stephen Rotstein
Letters of engagement and detailed notes offer key protection from client complaints
- By: Stephen Rotstein
- June 4, 2012 January 5, 2019
- 10:45
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Long gone are the days when mutual funds and ETFs were two solitudes. Having both products has proven to be a winning strategy
The projections for mutual fund returns in the next several years are modest at best
The CSA is focused on introducing greater investor-protection rules while planning to eliminate some of the unnecessary rules and requirements mutual funds face
The bank reported solid earnings from its personal and commercial banking and insurance divisions
The BCSC says it has collected $4.8 million in penalties
He must also cooperate in enforcement action against other individuals involved
Penalties for overcontributing can eat away at client investments