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Month of July 03, 2018
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Editor’s choice
From the Regulators
CSA stands pat on embedded commissions
But regulators are banning DSCs and enhancing regulatory requirements for registrants to avoid situations that place them in a conflict of interest
June 21, 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
Industry News
1832 Asset Management faces $200-million class action
The announcement follows a similar proposal against TD Asset Management launched in April and the CSA’s proposal to ban mutual fund firms from paying discount brokerages trailer fees
June 26, 2018
 
Columns
Opinion: CSA decision a big win for the industry
June 21, 2018
Industry News
Dealers’ Report Card 2018: Comparing each dealer’s average advisor
June 6, 2018
From the Regulators
Ben Cheng to pay $400,000 in Amaya insider tipping settlement
June 15, 2018
Industry News
Scotiabank to acquire MD Financial Management
May 31, 2018
Industry News
Advisors are unprepared for the digital transformation of wealth management
June 1, 2018
From the Regulators
OSC approves no-contest settlement with IPC dealers
June 7, 2018
Industry News
Financial planners need to focus on core services in light of changing landscape
June 11, 2018
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Inside Track
Ellen Bessner
New enforcement powers have major implications for some advisors
Court enforcement means penalized advisors who have left the industry need a new approach
June 11, 2018
 
In Depth
Special Reports
The end of embedded commissions? How we got here
The Canadian Securities Administrators has decided not to ban embedded commissions after all
22 June 2018
Special Reports
CIFPs National Conference 2018
News and insight from the 16th annual national Canadian Institute of Financial Planners conference in Halifax
15 June 2018
Dealers’ Report Card 2018
Report Cards
Dealers’ Report Card 2018
 The road ahead may be bumpy for advisors, who are feeling unsettled as their firms go through major transitions related to ownership, management and technology
01 June 2018
   
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