Fund Facts fast relief
With fund facts disclosure forms now officially available to investors, regulators are letting some companies get a head start on the second stage of the…
- By: Megan Harman
- October 17, 2011 October 30, 2019
- 15:01
Latest news in News
The long reach of the U.S. taxman
One million residents may have U.S. tax-filing responsibilities
- By: Rudy Mezzetta
- October 17, 2011 October 30, 2019
- 14:44
Circuit breakers
After the notorious stock market crash in 1987, known as Black Monday, regulators introduced marketwide circuit breakers in an effort to prevent a repeat of…
- By: James Langton
- October 17, 2011 October 30, 2019
- 14:27
Article TitleRuling could open floodgates
Judges are willing to entertain cases for matters that extend beyond Canada’s borders if investors here suffer losses
- By: Jim Middlemiss
- October 11, 2011 October 30, 2019
- 11:33
Independent leader, independent crew
Independent brokers are facing some regulatory changes. John Dargie wants them to know there’s nothing to fear
- By: Olivia Glauberzon
- September 23, 2011 October 30, 2019
- 11:38
Post-secondary program expands
The financial services practitioner program will now be offered at more than one college for the first time since launching in 2006
- By: Olivia Glauberzon
- September 23, 2011 October 30, 2019
- 11:38
National Bank aims to score with Pro Ice
The acquisition of a Winnipeg-based niche firm that caters to pro hockey players lines up well with the bank’s high net-worth strategy
- By: Geoff Kirbyson
- September 23, 2011 October 30, 2019
- 11:38
A safe place for your clients’ vital documents
CLHIA’s downloadable Virtual Shoebox gathers important information in one secure place for easy accessibility
- By: Paul Brent
- September 23, 2011 October 30, 2019
- 11:38
Canadians’ love affair with credit
Consumer debt has jumped to historical highs at a time when gains in both equities and real estate show signs of stalling. Do clients understand…
- By: Olivia Li
- September 23, 2011 October 30, 2019
- 11:38
Charting a route out of the debt maze
Helping clients get borrowing under control is a major new growth area for advisors. Success means happier clients and more resources for wealth creation
- By: Olivia Li
- September 23, 2011 October 30, 2019
- 11:38
Firms face online landmines
Companies need to educate employees about the legal and security risks of offensive comments on social media and blogs
- By: Patricia Chisholm
- September 23, 2011 October 30, 2019
- 10:56
Regulation: Firms favour merger
Dealers say value of IIROC MFDA merger is in cutting costs
- September 23, 2011 October 30, 2019
- 10:56
Nice ad — but check the fine print
Some securities regulators are stepping up supervision of promotional ads by issuers, often smaller resources companies
- By: Geoff Kirbyson
- September 23, 2011 October 30, 2019
- 10:56
Life premiums: On the increase
Low interest rates reduce insurers' investment income
- By: Olivia Glauberzon
- September 23, 2011 October 30, 2019
- 10:56
Banks grow their insurance businesses
RBC and Scotiabank’s insurance subsidiaries are expanding their footprint with more branches near their regular bank branches
- By: Olivia Glauberzon
- September 23, 2011 October 30, 2019
- 10:56
PI Financial takes on Toronto
Vancouver-based PI Financial, which is focused on high net-worth clients, sees opportunity in Toronto
- By: Paul Brent
- September 23, 2011 October 30, 2019
- 10:56
Financial services profit survey: Mixed results in Q2
One trend that persisted in the quarter is that consolidation is continuing, with many transactions announced in Q2
- By: Catherine Harris
- September 23, 2011 October 30, 2019
- 10:56
Advisory panel gains traction
The OSC’s investor advisory panel has produced four substantive comments on regulatory policy initiatives in one year
- September 23, 2011 October 30, 2019
- 10:56
Social media networking
Study shows that more advisors are using it
- By: Olivia Li
- September 23, 2011 October 30, 2019
- 10:56
Flying under the radar
Regulators are increasingly concerned about firms operating as exempt market dealers — and outside their oversight
- September 23, 2011 October 30, 2019
- 10:56
New anti-spam law could hurt advisors
New law would prohibit the sending of commercial electronic messages without the prior consent of the recipient
- By: Megan Harman
- September 23, 2011 October 30, 2019
- 10:56
Laurentian bulks up
Two deals will help bank generate more fee-based income
- September 23, 2011 October 30, 2019
- 10:56
CRA extends leniency for TFSA errors
The taxman is working with banks and others to do a better job of explaining the rules for TFSAs
- By: Rudy Mezzetta
- August 29, 2011 October 30, 2019
- 11:05
Aiming for the pole position
Monique Gravel wants to boost performance at CIBC Wood Gundy by raising productivity and promoting a culture of excellence
- By: Gavin Adamson
- August 29, 2011 October 30, 2019
- 11:05
New TMX system is key to market share
TMX Select is expected to compete head-on with rival alternative trading systems such as Chi-X Canada and Alpha Trading Systems
- By: Olivia Glauberzon
- August 29, 2011 October 30, 2019
- 11:05