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Wednesday June 06, 2018
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From the Regulators
OSC to consider no-contest settlement with IPC dealers
The two dealers self-reported weaknesses in their controls which resulted in some clients paying excess fees
June 5, 2018

From the Regulators
Peak settles with AMF on compliance deficiencies
A 2016 review found weaknesses in the firm’s internal controls and supervisory systems
June 5, 2018

From the Regulators
Manitoba strengthens IIROC’s enforcement authority
Legislation protects SRO against malicious lawsuits
June 5, 2018

Products
Natixis streamlines mutual fund lineup
The mutual fund company is capping, reducing the management fees of and consolidating and renaming certain fee-based series
June 5, 2018

Industry News
Equisoft launches philanthropy planning tool for wealthy clients
June 5, 2018

Industry News
Fidelity Clearing offers clients Envestnet managed accounts platform
June 5, 2018

Research and Markets
Mergers are good news for companies and investors
June 5, 2018

From the Regulators
SEC appoints senior advisor for digital assets and innovation
June 5, 2018

Research and Markets
Materials sector helps lift TSX
June 5, 2018

News
What drives investors to robo-advisors?
Interest and knowledge of financial matters play a key role in clients' choice of investment-management channel
June 1, 2018

Appointment Notices
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