This year’s guidelines come at a time at which the CSA is currently working on a standardized methodology for measuring and reporting risk to investors
Information for dealers focuses on annual investor reports
AUM increase by $28 billion or 2.3% compared to April
The mutual fund industry trade group’s submission pushes back against some of preliminary recommendations of the Expert Committee
The checklists on cognitive decline and financial exploitation will help advisors prepare for the challenges of working with aging investors
AUM increase by $7 billion or 0.5% compared to March 2016
The former executive director with the BCSC takes over from Joanne De Laurentiis, who has led the organization for the past 10 years, in July
Submission to the SRO’s white paper suggests that removing the 270-day rule would “begin to unravel the current SRO system”
Industry assets under management grew to $1.234 trillion in March
Year-to-date net sales approach $6.5 billion