Investment Executive Regulators’ Report Card 2019
Financial services watchdogs have improved over last year, according to compliance officers and company executives surveyed for the 2019 Investment Executive Regulators’ Report Card.
Participants were more satisfied with the industry’s two self-regulatory organizations and four of the country’s provincial regulators – despite persistent challenges. Still, the desire for one national regulator remains.
Segregated Fund Families ranking shows active management paid off in fixed income, and tech gains dominated equities returns
Newsmaker: With Dave Kelly as chief operating officer, Richardson Wealth aims to reach $100 billion in AUA and 50% women advisors over the next few...
Industry and advocates say more work is needed
A slower economy, inflation, higher legal fees contribute to increased rates
FHSA holders may trigger tax when they overcontribute or hold non-qualified investments
Fund manager has no assets or insurance, lawyer says
The agency could extend reassessment period if a taxpayer is issued a notice of non-compliance
Fees to rise for most firms as minimums go up, certain dealers pay higher share