Investment Executive Monthly newsletter

Month of May 01, 2018
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From the Regulators
Mackenzie fined for excessive promotional spending
April 6, 2018

Industry News
Former colleagues launch boutique investment firm
Crimson Asset Management to focus on high net-worth investors
April 4, 2018

Industry News
Financial services must plan for rapid change
April 3, 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

Products
Class action filed on trailing commissions paid to discount brokers
April 9, 2018

From the Regulators
MFDA announces 2018 client research project
Mutual fund dealers can expect a mandatory request for data in June
April 11, 2018

Industry News
Client loyalty not leading to referrals
April 23, 2018

From the Regulators
B.C. moves to strengthen SRO enforcement
Amendments will allow IIROC and the MFDA to enforce penalties as court orders
April 17, 2018

Industry News
Offering ETFs will mean new requirements for mutual fund dealers
April 25, 2018

Products
Mutual fund advisors get access to platform-traded funds
NEO Connect and Univeris partner to expand platform to mutual fund dealers
April 19, 2018

Ellen Bessner
Regulators need improvement
Given the results of the 2018 Regulators’ Report Card, implementing a better approach may lead to a better outcome next year
April 16, 2018

Report Cards
Regulators’ Report Card 2018
Dissatisfaction with most of the major regulators that oversee the financial services sector has increased in the past year
29 March 2018

Appointment Notices
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