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Monday October 21, 2019
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Research and Markets
What a coalition government would mean for markets
The results could range from benign to serious
October 21, 2019

From the Regulators
Fund rep's 'egregious' misconduct harms clients, capital markets, MFDA panel says
The former rep has been permanently banned and ordered to pay more than $1.6 million
October 21, 2019

People
Industry veterans move to National Bank Financial
The two investment professionals ran separate practices at Scotiabank and ScotiaMcLeod, respectively
October 21, 2019

Research and Markets
Loonie moves higher on election day
Toronto stock index closes up on Monday
October 21, 2019

From the Regulators
Banned reps churned out millions from vulnerable client, FINRA finds
More than 2,800 trades were placed in the accounts of a client with a severe impairment
October 21, 2019

Research and Markets
Canada’s pension system moves up in global ranking, in spite of ‘large risks’
Report finds Canada has a US$2.5-trillion gap between existing retirement savings and future retirement needs
October 21, 2019

Research and Markets
A major securities sector hack is inevitable, may be systemic
October 21, 2019

Industry News
WealthBar acquires financial planning software provider
October 21, 2019

Cary List
Why enforcement is more critical than ever
The vigilant enforcement of professional standards is essential to protect consumers and to maintain the integrity of the financial planning profession
October 18, 2019

Appointment Notices
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