Investment Executive Weekly newsletter

Week of June 08, 2018
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From the Regulators
OSC approves no-contest settlement with IPC dealers
The two dealers will pay slightly less than $11 million to resolve allegations that clients paid excess fees
June 7, 2018

Industry News
Dealers’ Report Card 2018: Comparing each dealer’s average advisor
Although the average advisor saw modest improvements in AUM and productivity, the increases among some firms’ advisors were dramatic
June 6, 2018

Industry News
RI is changing the meaning of “fiduciary duty”
A longer-term investment focus requires looking at sustainability
June 4, 2018

Industry News
CRA provides little direction on new small-business tax regime
June 4, 2018

From the Regulators
Peak settles with AMF on compliance deficiencies
June 5, 2018

Industry News
Quebec abandons plan to scrap CSF
June 6, 2018

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

From the Regulators
Ontario man charged with fraud following syndicated mortgages investigation
June 4, 2018

From the Regulators
Manitoba strengthens IIROC’s enforcement authority
June 5, 2018

Jamie Golombek
IRA to RRSP transfers can be done — but be careful
The most important consideration in this process is whether a client can use his or her foreign tax credits against other income in the year of transfer
June 4, 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

Building Your Business
Tech Tips: Keep your passwords safe
Those secret codes you create for your online accounts are inherently insecure, but there are steps you can take and tools you can use to keep hackers away from your valuable data and personal information
June 1, 2018

Appointment Notices
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