Investment Executive AM newsletter

Friday June 15, 2018
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Industry News
The biggest challenge advisors may face is managing clients’ emotional reactions
Advisors see a tough road ahead of them in helping clients prepare for financial obstacles
June 14, 2018

From the Regulators
Royal Mutual Funds reprimanded for violating sales practices rule
Fund dealer paid reps 10 bps more in commissions for selling its proprietary RBC Portfolio Solutions funds
June 14, 2018

From the Regulators
OSC alleges Caldwell failed to fulfill its best execution obligations
Regulator to consider allegations against portfolio and investment manager at July 3 hearing
June 15, 2018

From the Regulators
Former head of Crystal Wealth banned for misappropriating $11.8 million
The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market
June 14, 2018

From the Regulators
CCIR releases model disclosure document for seg funds
Insurers will be able to adapt their disclosures to ensure consistency in language with insurance contracts and Fund Facts documents
June 14, 2018

From the Regulators
Quebec government passes Bill 141
The legislation will boost the ability of self-regulatory organizations to carry out their mandates
June 14, 2018

From the Regulators
Proposed derivatives business conduct rules an important milestone
CSA issues a second request for comment
June 14, 2018

Industry News
CRA to improve call-centre services
The federal tax agency is focusing on modernizing technology, improving agent training and updating service standards
June 14, 2018

Products
Fidelity fund brings growth and value styles together
June 14, 2018

Research and Markets
TSX finishes higher on strength of gold
Nasdaq closes at record high
June 14, 2018

Ian Russell
Robust internal growth offers alternative to acquisitions
Adopting a strategy focused on technology would give a firm’s advisors greater potential to grow their businesses
June 14, 2018

Appointment Notices
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