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Week of September 06, 2019
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Industry News
Bringing financial planning to the masses
A new tool allows advisors to offer a “lighter financial planning experience” to smaller clients
September 3, 2019

From the Regulators
The value of cooperating with regulators? Millions
Breaking down how the OSC calculated penalties for TD and RBC
August 30, 2019

Research and Markets
First-time homebuyers optimistic about new government incentive: poll
BMO finds enthusiasm for the plan — but will homebuyers qualify?
September 3, 2019

From the Regulators
Illicit FX trader chats prompt OSC investigation
After reaching settlements with TD and RBC, the OSC put other firms on notice
August 30, 2019

From the Regulators
IIROC approves automation for opening certain accounts
The new guidance applies to order-execution-only firms
August 28, 2019

From the Regulators
U.S. authorities charge former CEO in alleged fraud scheme
Former executive allegedly involved in scheme to inflate the value of company's bond portfolio
August 29, 2019

Research and Markets
Client demands overtake regulation as industry's top concern
September 4, 2019

Research and Markets
Big banks fail to inhale lucrative pot sector
August 29, 2019

Products
Franklin Templeton merging, chopping funds
August 30, 2019

Jamie Golombek
Advisors can help clients avoid TFSA overcontributions
August 30, 2019

Partner Reports
The time is right for fixed income ETFs
Products counter equity volatility.
September 3, 2019

Appointment Notices
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