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Week of July 10, 2020
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From the Regulators
Richardson GMP sanctioned over supervisory failures
Firm admitted to lapses in oversight involving two reps as well as its options trading system
July 3, 2020

People
Djurfeldt leaves Wellington-Altus
Veteran executive departs recruiting role after less than a year
July 6, 2020

From the Regulators
Rep loses registration bid for keeping DUI charge secret
Despite being acquitted, failure to disclose charge thwarts registration
July 2, 2020

Industry News
Nest Wealth and National Bank expand partnership
The fintech and bank have announced a multi-million dollar investment and commercial deal
July 7, 2020

Industry News
PI Financial bought by joint venture
H.I.G. Capital and RCM Capital Management team up to acquire Vancouver brokerage
July 8, 2020

From the Regulators
Wide range of IIROC dealers seek relief
The SRO staff's authority to rule on exemption applications has been extended
July 8, 2020

Client Communications
The pandemic could affect when and how clients divorce
June 30, 2020

From the Regulators
Pilot to study trading-fee rebates scrapped
July 2, 2020

Jamie Golombek
Prescribed rate loan planning
Help your clients with their income splitting strategies
July 3, 2020

Appointment Notices
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