Investment Executive Weekly newsletter

Week of August 02, 2019
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From the Regulators
IIROC fines, suspends rep for trading misconduct
Fines, disgorgement and costs total $105,000
July 25, 2019

From the Regulators
Another former rep banned for falsified line of credit application
The MFDA banned a different rep for the same offence last week
July 30, 2019

From the Regulators
Former rep permanently banned for ‘deceitful’ conduct
Man used falsified documents to apply for a personal line of credit
July 25, 2019

Research and Markets
Many Canadians not as wealthy as they thought: Poll
But most, paradoxically, are confident about meeting their retirement goals
July 26, 2019

Research and Markets
Survey challenges justification for DSCs and trailing commissions
Many investors receive little advice for the fees they pay
July 29, 2019

Industry News
Liberals introduce draft legislative proposals on tax measures from budget
Measures include rules on annuities, tax changes affecting funds
July 30, 2019

Products
Canada Life unveils new product shelf
July 24, 2019

Industry News
Liberals post a budgetary deficit of $1.4B
July 26, 2019

Research and Markets
Everybody loses with new NAFTA: report
July 25, 2019

Products
New high-interest savings fund from CI
July 31, 2019

Partner Reports
Driving richer investment conversations
Clients want deeper and broader advice.
July 29, 2019

Appointment Notices
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