Investment Executive AM newsletter

Monday May 28, 2018
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From the Regulators
Global RESP fined for failing to comply with previous settlement
The firm failed to implement any policies or procedures designed to ensure founder Sam Bouji did not act as an officer of the firm
May 25, 2018

Research and Markets
Five things to watch for in Canadian business
Inflation report coming on Friday
June 17, 2018

Products
Invesco announces lineup changes, fee reductions
Fund company introduces global multi-sector credit and Canadian “core plus” strategies
May 25, 2018

From the Regulators
Former rep banned for misappropriating client funds
The vulnerable investors were the parents of the rep’s former fiancé
May 25, 2018

From the Regulators
AMF seeks candidates for Distribution Practices Advisory Committee
May 25, 2018

Industry News
Former GrowthWorks manager breached its obligations, court rules
May 25, 2018

Industry News
Police warn of cryptocurrency fraud schemes
May 25, 2018

Industry News
Ready or not, Canadian business may face sanctions under EU’s new privacy law
May 25, 2018

Industry News
IE’s Calendar of Industry Events
Helping advisors find opportunities for accredited continuing education
June 7, 2024

Cary List
Ontario takes a step in the right direction
The Ontario government’s recently published proposal for regulating financial planners gets a lot of things right, but several concerns remain with the proposed legislation
May 28, 2018

Appointment Notices
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