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Week of July 17, 2021
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From the Regulators
Rep sanctioned over needless DSC sale
A client eligible for no-loads funds was instead sold a DSC fund to boost the rep's compensation
July 12, 2021

Ellen Bessner
Why care about changes to regulations?
Three questions to ask to protect yourself and your business
July 9, 2021

Industry News
Estate experts seek resolution on beneficiary designation issue
Stakeholders want it to be clear that beneficiary designations indicate the deceased's wishes
July 13, 2021

Susan Silma
Suitability takes on new meaning with client-focused reforms
Advisors must “put the client’s interest first” when making a recommendation
July 14, 2021

Research and Markets
Is the pandemic over? Great, I quit
RBC warns that labour shortages are set to rise as retirements resume and more people are willing to leave their jobs
July 12, 2021

From the Regulators
Ex-Bridging Finance CEO seeks to upend OSC investigation
David Sharpe alleges the regulator improperly disclosed evidence obtained in compelled testimony
July 9, 2021

Industry News
Are your retired clients worried about recent price hikes?
July 8, 2021

From the Regulators
Proposed investor settlement reached in PACE case
July 9, 2021

Partners’ Place

Appointment Notices
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