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Week of April 26, 2019
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From the Regulators
IIROC to adopt new disciplinary tools
SRO seeks comment on minor contravention program and early resolution offers. The programs would contribute to enhanced efficiencies and faster resolutions
April 25, 2019

Research and Markets
What the WOW Air collapse tells us about the economy
Was the airline's failure a canary in the economic coal mine?
April 22, 2019

From the Regulators
NASAA warns investors about cross-selling risks
An alert says the sales tactic can take advantage of clients
April 24, 2019

From the Regulators
Former rep sanctioned for suitability failures
The former broker admitted to recommending unsuitable high-risk investments to multiple clients
April 23, 2019

From the Regulators
OSC updating oversight of investor protection funds
April 25, 2019

Industry News
Proposed class action alleges RBC Insurance, Aviva shortchanged commissioned employees
April 23, 2019

Products
TD Asset Management launches alternative investment funds for HNW clients
April 24, 2019

From the Regulators
OSFI focuses on industry risks in new strategic plan
April 25, 2019

Products
RI continues to grow in Canada: Desjardins
April 25, 2019

Research and Markets
Millennials better off than Gen X, StatsCan reports
April 18, 2019

Keith Costello
Helping clients avoid market groupthink
Long-term investment portfolio values and retirement goals can suffer when your clients follow market irrationality
April 23, 2019

Appointment Notices
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