Investment Executive AM newsletter

Wednesday November 27, 2019
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From the Regulators
Court finds ex-advisor liable for client's loss
The client invested $2 million in the former advisor's business, which failed
November 26, 2019

Industry News
Pascal Financial launches wealth management platform for advisors
The digital platform is designed to reduce admin time by up to 50%
November 26, 2019

From the Regulators
CFTC steps up its enforcement efforts in 2019
Fines, restitution and disgorgement awards were up 39% from the previous year
November 26, 2019

From the Regulators
Citi hit with record U.K. fine for regulatory reporting failures
The banking giant resolved the case for £43.9 million
November 26, 2019

Industry News
Sun Life subsidiary secures partnership with bank in Vietnam
The agreement expands Sun Life Vietnam's distribution network
November 26, 2019

Industry News
ETF sales rebound in October
Sales were up in all asset classes
November 25, 2019

Products
TD Asset Management introduces new ETFs
November 26, 2019

From the Regulators
FCA bans sale of risky, complex vehicles to retail investors
November 26, 2019

Appointment Notices
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