An appeal court has ruled that banks and other organizations must step carefully when asked for confidential financial documents, including requests by advisors
Strategy would incorporate formal education, government programs, online tools and a campaign to raise awareness
The shift to tougher capital requirements for banks is underway, but worries are already increasing that it won’t be enough to avoid the next financial…
Recent startup Accretive 360 acquires Advisor Impact in an effort to enhance its newly launched matchmaking service
Politicians have expressed concern about the major deal, citing loss of control of Canada’s exchanges
Leading the Canadian Securities Administrators is no easy task as it faces the possible creation of a national securities regulator
Merger would create world’s largest venue for natural resources listings, but it may not live up to expectations
Clients are diversifying fixed-income investments to find higher yields
IIROC releases draft on compliance obligations when using social media
Regulators’ paper looks at oversight duties of MGAs, insurers
The former top boss at the Montreal Exchange is now responsible for developing and maintaining corporate ties at National Bank
Investment Executive’s sister publication names Jean-Guy Desjardins the 2010 Quebec Financial Person of the Year
Some observers say there’s no evidence dark pools are harming market quality in Canada — and restricting them stifles innovation
New BMO product is designed to deal with clients’ concerns about security of retirement income
A “feat of financial engineering” has led the firm to “the cusp of profitability” with $845 million in AUM
Many clients are confused about how to use these accounts
Britain’s FSA is considering more intrusive measures
PRPPs an attempt to come up with a lower-cost solution than the retail market's
Alberta’s provincial government has three proposals to consider that may finally resolve the issue of advisor incorporation
Miami-based social networking website offers an expanded compliance reporting function for third-party websites
Margaret Franklin, chair of the board of governors of the CFA Institute, advocates better securities enforcement practices to regain the public's confidence
Atlantic Central follows the path of B.C.’s and Ontario’s Central 1 Credit Union
Getting up to speed on sweeping changes to succession legislation coming this year will be crucial for financial advisors, especially those with older clients
Innovation and productivity tax credit for Ontario
Margaret Franklin is hitting her stride. The same year she was appointed to head the CFA Institute’s board, she also started her own firm