Both firms now operate under the Investia banner
The firm will pay a $250,000 fine and $50,000 in costs
FundEX and Investia ordered to implement leverage review action plans
Dispute resolution service calls on fund dealer to compensate couple in connection with off-book investment
New FundEX to have over 450 reps, $9 billion in AUA
IA will integrate brokerage into FundEX Investments
Executives at quebec City-based Industrial Alliance Insurance and Financial Services Inc. have added another building block to the geographically diversified wealth-management business it has been building over the past five years.In a deal announced March 3, the firm’s wholly owned subsidiary, Industrial Alliance Securities Inc., acquired the business of Toronto-based full-service securities broker KingsGate Securities […]
But Beige Book notes growth held back by higher energy costs, business spending
Most firms becoming more co-operative when planners decide it’s time to part company; IG still blocks client transfers
Insurer on drive to become major distributor of mutual funds