Investment Executive Weekly newsletter

Week of July 30, 2022
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From the Regulators
Senior client DSC switch ends in sanctions
Rep fined after switching a nonagenarian's account into a DSC fund
July 28, 2022

From the Regulators
RBC DS admits order-marking failures
Software updates caused various issues undermining market oversight
July 26, 2022

Ellen Bessner
Best kept secret about KYC
Advisors ignore this important know-your-client item to their detriment
July 25, 2022

From the Regulators
Being an 'advisor' could become tougher in Saskatchewan
The FCAA consults on an approach that would deviate from Ontario's new title rules
July 25, 2022

People
IIAC inducts three to Hall of Fame
The Investment Industry Association of Canada also announces leadership award winners and Top Under 40 nominees
July 25, 2022

From the Regulators
Former rep who claimed clients’ funds were loans penalized more than $700K
An IIROC hearing panel also permanently banned the former Toronto-area rep
July 22, 2022

Columns
Help your client navigate the new retirement reality
July 22, 2022

From the Regulators
Tribunal sanctions brothers for binary options scheme
July 26, 2022


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