Investment Executive Weekly newsletter

Week of April 28, 2018
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Industry News
Offering ETFs will mean new requirements for mutual fund dealers
Training, due diligence, trading instructions among issues MFDA firms will have to consider
April 25, 2018

Industry News
Client loyalty not leading to referrals
Clients say advisors are not engaging in all aspects of their financial lives
April 23, 2018

From the Regulators
1832 to pay $950,000 settlement
OSC investigation reveals firm violated sales rule by overspending on gifts for reps and conference attendees
April 24, 2018

Research and Markets
Fixed-income investments call for patience
April 26, 2018

From the Regulators
IAP frustrated with slow pace on improving investor protection
April 25, 2018

Research and Markets
Pro-Financial and former CEO fined for breaching securities laws
Registrants must not place their self-interest ahead of the interests of investors, OSC panel says
April 24, 2018

From the Regulators
IIROC receives passing grade from regulators
April 26, 2018

Industry News
GWL executive named new head of Financial Horizons
April 24, 2018

Products
Fewer Canadians have disability insurance
April 24, 2018

Industry News
Advisors seek help with clients’ mental health
April 25, 2018

Keith Costello
Market trends will have a greater influence than new regulatory standards
Financial planners and financial advisors need to understand the market trends affecting financial planning and the evolution of advice
April 23, 2018

Appointment Notices
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