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Week of January 17, 2020
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From the Regulators
Advisor fined $60K for due diligence failures
IIROC says the advisor failed to learn “essential facts” about a client
January 15, 2020

Industry News
Ontario court certifies class action against brokerages
Investors shouldn't be left to bring individual claims, court rules
January 9, 2020

Industry News
CIBC hires former MP Lisa Raitt as vice-chair of global investment banking
Raitt is the latest high-profile politician to move to the banking sector
January 10, 2020

Research and Markets
Survey finds Canadians are concerned about qualifying for a mortgage
Advisors can help allay client concerns
January 10, 2020

Research and Markets
Banks face challenges to earnings and assets in 2020
Threats to Canada's big banks include economic weakness, low rates and rising credit provisions, DBRS says
January 9, 2020

Industry News
TMX Group CEO Lou Eccleston steps down following historical allegations
TMX Group said it's in the company's best interests for the CEO to retire early
January 10, 2020

Research and Markets
Millennials worry more about money than older Canadians: poll
January 14, 2020

Research and Markets
Mummification or being launched into space? Burial options for your client
January 14, 2020

Inside Track

Ellen Bessner
Build your business one KYC update at a time
Why KYC updates have never been more important to your success
January 10, 2020

Partners’ Place

Appointment Notices
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