Investment Executive AM newsletter

Wednesday December 19, 2018
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Products
TFSA usage jumps in 2018
Many Canadians unaware of changes to contribution limit
December 18, 2018

From the Regulators
CSA to study impact of trading fees, rebates
Proposed pilot would examine the effects of a prohibition of rebate payments by Canadian marketplaces
December 18, 2018

From the Regulators
Raymond James fined $125,000 for overcharging clients
More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been
December 17, 2018

From the Regulators
OSC approves $30-million settlement with Katanga Mining for improper disclosure
Current and former directors and officers will collectively pay millions of dollars more in penalties
December 18, 2018

Industry News
Virtual Brokers lowers commissions
December 18, 2018

From the Regulators
Vancouver man facing more securities charges after skipping trial: BCSC
December 18, 2018

From the Regulators
IIROC schedules business continuity test for October
December 18, 2018

Research and Markets
Survey underscores growing importance of ESG to Canadian institutional investors
December 18, 2018

Research and Markets
North American markets finish higher
December 18, 2018

Jamie Golombek
Taking advantage of TFSAs
With the annual dollar limit increasing in January, there’s no reason why your clients shouldn’t take advantage of this tax-free savings and investment vehicle
December 17, 2018

Appointment Notices
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