Investment Executive Monthly newsletter

Month of September 04, 2018
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Products
Make ban on DSC mutual funds retroactive to consultation launch: IAP
Panel expresses concern that DSC products may be sold more aggressively in advance of the prohibition being fully implemented
August 21, 2018

From the Regulators
OSC highlights common compliance deficiencies
Some registered firms are not establishing an adequate compliance system
August 23, 2018

Industry News
Court sides with Raymond James
Brokerage firm had good reason to terminate advisor
August 24, 2018

From the Regulators
MFDA bans former missing advisor
Harold Backer induced clients to invest in non-existent mutual funds
August 13, 2018

Industry News
FPSC proposes “duty of loyalty” for financial planners
The new requirement would introduce “specific obligations” that would expand financial planners’ obligation to prioritize their clients’ interests
August 9, 2018

Industry News
Low investor awareness of CRM2 a challenge for firms and advisors
Edward Jones tops J.D. Power investor satisfaction ranking for sixth consecutive year
August 16, 2018

Industry News
Slideshow: What matters most to advisors
From ethics to products to compensation, here are the categories that advisors gave the highest overall average importance ratings
August 29, 2018

From the Regulators
IIROC fines advisor $150,000 for failing to prioritize clients’ interests
August 9, 2018

Industry News
Millennials don’t seek professional advice when they receive an inheritance
August 14, 2018

Industry News
Canadians missing out on tax breaks for caregivers: poll
August 22, 2018

Ian Russell
Dealers may narrow offerings in response to regulatory proposals
Many independent firms may restructure or retool their wealth-management operations to mitigate the negative impacts of the client-focused reforms
August 16, 2018

Ellen Bessner
How to adhere to the regulations without reading them all
If you can’t read and digest all the rules, make sure to understand the principles behind them
August 7, 2018

News
The debate over CRM3
Growing resistance to the MFDA’s plan to increase disclosure

News
Remaking the industry
CSA anticipates its proposals will add costs for the industry

News
Focus on advisors
B2B service could become the driver of Wealthsimple’s business

Special Reports
Investment Executive’s ETF Summit 2018
On Oct. 3, Investment Executive co-hosted a summit discussing the benefits and challenges of using ETFs.

Appointment Notices
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