U.S. firm moves small accounts to younger brokers
This year, there have been a total of 74 rules out for comment vs only 28 in all of 2007 — and the increase in regulatory costs is resulting in consolidation among smaller firms
Europe seems stuck between the rock of difficult market conditions and the hard place of new regulatory standards, say IIAC chief
Four new board members also announced
Firms with different business models need more flexibility in meeting compliance requirements
Improved dialogue and broader service offerings are helping deepen client relationships
Richard Morin will be responsible for the Quebec region and will act as a liaison with federal government
Investment Industry Hall of Fame celebrates industry leaders who have made an impact on the Canadian securities industry
Industry should not be forced to pay clean up costs, says IIAC
Disparity between Canada and U.S. firms reflects differences in domestic equity markets, other factors