Investment Executive Weekly newsletter

Week of April 12, 2019
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From the Regulators
MFDA flags KYC issues, concentration risks among reps
The SRO issued a report Wednesday analyzing data from its client research project
April 10, 2019

Industry News
Canadians shifting away from traditional home purchases: RBC
Four in 10 survey respondents reported that they've been "house poor" at some point
April 8, 2019

Industry News
Proposed class actions filed over ‘excessive’ management fees for mutual funds
RBC and TD are alleged to have overcharged clients for a hidden "closet indexing" investment strategy
April 10, 2019

From the Regulators
IIROC allows exemptions for credit union reps
Agreements allow reps to receive compensation from credit unions for securities-related activities
April 10, 2019

From the Regulators
Banned B.C. man faces fraud charge
The man was initially banned by the BCSC in 2007 for several securities law violations
April 5, 2019

Industry News
A tax refund isn't a 'windfall' — it's a sign of poor tax planning
Canadians should fill out paperwork to reduce the tax they pay every pay period, CIBC's Jamie Golombek says
April 4, 2019

Research and Markets
Time for a workplace TFSA?
A new paper argues governments should create a tax-free pension plan
April 9, 2019

From the Regulators
B.C. proposes new financial regulator
The regulator would replace the Financial Institutions Commission
April 4, 2019

News
Alberta court upholds no-contest clause
Decision may encourage more frequent use of these clauses in wills, estate practitioners say
April 5, 2019

People
A steward of tradition
Seizing new opportunities while preserving the culture of a firm founded in 1955
April 5, 2019

David Reeve
How to increase digital adoption for client wealth reporting
Three key steps to improve investor engagement and advisor success
April 5, 2019

Appointment Notices
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