Investment Executive AM newsletter

Tuesday October 09, 2018
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From the Regulators
Omega ATS sanctioned for dissemination of inaccurate information
$500,000 penalty a strong deterrent, OSC panel says, and the firm has spent substantially more to upgrade its systems
October 5, 2018

From the Regulators
FCAC’s new supervision framework now in effect
New enforcement division will improve agency’s ability to protect consumers
October 5, 2018

Research and Markets
Five things to watch for in Canadian business
Wholesale trade, retail sales numbers on deck
January 20, 2019

Products
IA Clarington announces portfolio manager changes
October 5, 2018

From the Regulators
OSC hearing will consider allegations of unregistered trading in CFDs
October 5, 2018

From the Regulators
Regulators using a wider range of enforcement tools: report
October 5, 2018

From the Regulators
OSFI seeks input on revisions to interest rate risk guideline
October 5, 2018

Research and Markets
Unemployment rate dipped to 5.9% in September
October 5, 2018

Research and Markets
TSX, N.Y. markets end down despite strong jobs reports
October 5, 2018

Keith Costello
Entrepreneurs need help with their retirement planning
Financial planners and financial advisors need to understand these individuals’ retirement challenges to gain them as clients
October 9, 2018

Special Reports
How ETF investors are unique — and why it matters to advisors
Find out what research presented at the ETF Summit reveals
October 4, 2018

Special Reports
How ETFs fit into a hybrid advice model
Experts describe how they use the funds
October 3, 2018

Appointment Notices
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