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Week of April 18, 2019
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From the Regulators
Ontario seeks to regulate planner, advisor titles while boosting market confidence
Proposed framework would require planners and advisors to have an "appropriate credential"
April 11, 2019

From the Regulators
TD Waterhouse accused of disclosure violations
IIROC claims firm failed to provide clients with position cost information in quarterly account statements
April 16, 2019

Industry News
Ontario provides probate tax relief
The provincial budget proposes to eliminate estate administration tax on estates valued under $50,000
April 12, 2019

Research and Markets
Canadians’ satisfaction with investment firms drops
This is the first decline in customer satisfaction since 2008, J.D. Powers reports
April 15, 2019

From the Regulators
Industry applauds Ontario's pledge to regulate planner, advisor titles
It remains to be seen what credentials the titles would require
April 12, 2019

From the Regulators
MFDA fines, permanently bans former rep for falsifying client initials
Rep’s refusal to cooperate with investigation was deemed an aggravating factor
April 15, 2019

Industry News
Canadians uncertain about self-directed online investing: TD
Setting financial goals can help investors gain confidence, bank says
April 15, 2019

From the Regulators
Former fund dealer facing fraud charge
The MFDA permanently banned the dealer in 2016
April 15, 2019

People
CIBC shuffles CEO's brother into new role as head of CIBC Wood Gundy
Ed Dodig is to replace Peter Lee, who will become executive vice-president of banking centres
April 15, 2019

From the Regulators
FINTRAC warns financial firms about romance scams
Alert includes guidance to help financial firms identify possible victims
April 11, 2019

Inside Track

Ian Russell
The OSC Burden Reduction Task Force can make a difference to clients
Lower compliance costs will allow advisors to better serve smaller investors
April 16, 2019

Partners’ Place

Appointment Notices
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