David Kaufman, president of exempt market dealer Westcourt Capital Corp., says regulators and dealers must work together to identify dealers who are not playing by the rules and support those who are. He spoke at the 2012 Exempt Market Dealers Association conference in Toronto.
Manulife, Great-West had leadership changes last year
The non-prime lender withdrew its guidance earlier this month
Public pension manager's AUM rose to $195B
Clamp-down on scams may impose new obligations on financial institutions, among others
Getting it wrong could draw regulators’ ire, put you at legal risk
Retirement is a behavioural challenge as much as a financial one — 5 ways you can help
The move will serve as a critical test of whether Ontario will act with speed and purpose to realize CFTA's potential
They can be a powerful tool when dealing with complicated family dynamics or alternative assets