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Week of July 26, 2019
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From the Regulators
Former rep who inherited client’s Air Miles permanently banned
Settlement agreement also includes a $40,000 fine, $5,000 in costs
July 24, 2019

Industry News
Appeal court finds former Manulife employee was entitled to rescind retirement
Court orders that former employee should receive 12 months’ salary in lieu of notice
July 19, 2019

Industry News
How advisors can stand out from the crowd
Strategies to boost your business
July 23, 2019

Research and Markets
Canadians putting off retirement to help kids buy homes: survey
Parents are eager to provide financial assistance to their children — but at what cost?
July 22, 2019

From the Regulators
OSC reaches $2 million settlement with Caldwell over best execution failures
A panel said the firm failed to put client interests ahead of its own
July 19, 2019

From the Regulators
B.C. firm admits to misusing 'soft dollars' in settlement with regulator
Genus Capital Management will pay back $1.67 million to clients
July 19, 2019

People
iA Financial Group names new EVP and CIO
July 19, 2019

Industry News
CI Investments shakes up portfolio management
July 22, 2019

Research and Markets
Boomers worried they aren’t saving enough: survey
July 18, 2019

From the Regulators
Senior clients need more from financial firms: report
July 18, 2019

Partner Reports
Banking on a holistic approach
BMO offers clients tailored and dedicated service.
July 23, 2019

Appointment Notices
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