Investment Executive Weekly newsletter

Week of October 19, 2024
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From the Regulators
SRO investigation clashes with legal action
Court rejects appeal of finding that firm could be prejudiced by settlement
October 16, 2024

Report Card on Banks
Branch advisors’ role in contingency planning for their books
How big banks ensure a smooth transition from one branch advisor to another
October 15, 2024

Industry News
Canada's first majority-Indigenous investment dealer to launch
Scotia-backed firm will launch this month with 70% Indigenous ownership
October 16, 2024

Report Card on Banks
Bank advisors want better access to compliance departments
Branch planners and advisors say compliance support is important, but cited several hurdles
October 15, 2024

Susan Silma
The new retirement requires a new approach
It’s time to think differently about retired clients
October 16, 2024


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