Account statements | Investment Executive https://www.investmentexecutive.com/tag/account-statements/ Canada's news source for financial professionals Wed, 28 May 2025 19:30:59 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Account statements | Investment Executive https://www.investmentexecutive.com/tag/account-statements/ 32 32 Canaccord sanctioned in CIRO settlement https://www.investmentexecutive.com/news/from-the-regulators/canaccord-sanctioned-in-ciro-settlement/ Wed, 28 May 2025 19:30:40 +0000 https://www.investmentexecutive.com/?p=510841 Broker failed to meet gatekeeper obligations, missed red flags, when trading penny stocks for U.K. firm

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]]> The wrong way to retain clients https://www.investmentexecutive.com/news/from-the-regulators/the-wrong-way-to-retain-clients/ Tue, 18 Feb 2025 21:27:47 +0000 https://www.investmentexecutive.com/?p=502703 Ex-rep sanctioned for providing disgruntled clients with false portfolio reports

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]]> Bank of Canada should go it alone on rates: RBC https://www.investmentexecutive.com/news/research-and-markets/bank-of-canada-should-go-it-alone-on-rates-rbc/ Wed, 24 Apr 2024 20:18:47 +0000 https://www.investmentexecutive.com/?p=484696 A weaker loonie won't necessarily stoke inflation, report says

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]]> CIRO’s investor office sets broad agenda https://www.investmentexecutive.com/news/from-the-regulators/ciros-investor-office-sets-broad-agenda/ Tue, 14 Nov 2023 14:01:38 +0000 https://www.investmentexecutive.com/?p=475232 Group to focus on investor-advisor relationships, complaints, suitability

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]]> CPA groups in Quebec, Ontario sever ties with national organization https://www.investmentexecutive.com/news/industry-news/cpa-groups-in-quebec-ontario-sever-ties-with-national-organization/ Wed, 21 Jun 2023 16:28:27 +0000 https://www.investmentexecutive.com/?p=467680 Provincial groups and the national body are at odds over how best to represent CPAs across the country

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]]> For fund benchmarks, two or none is better than one https://www.investmentexecutive.com/news/from-the-regulators/for-fund-benchmarks-two-or-none-is-better-than-one/ Mon, 19 Sep 2022 21:44:41 +0000 https://www.investmentexecutive.com/?p=451757 U.S. research finds that benchmarks matter in fund performance reporting

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]]> Client account statements still a work in progress https://www.investmentexecutive.com/newspaper_/dealers-report-card/client-account-statements-still-a-work-in-progress/ Mon, 13 Jun 2022 04:09:00 +0000 https://www.investmentexecutive.com/?p=445654 Several dealers saw upticks in their ratings after upgrading their statements and client portals, but shortcomings persist

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]]> MFDA unmasks performance reporting issues https://www.investmentexecutive.com/news/from-the-regulators/mfda-unmasks-performance-reporting-issues/ Mon, 26 Jul 2021 16:15:52 +0000 https://www.investmentexecutive.com/?p=425979 SRO review finds a variety of reasons for botched return calculations

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]]> Lack of NAV to leave Bridging Finance investors with hole in portfolios — for now https://www.investmentexecutive.com/news/from-the-regulators/lack-of-nav-to-leave-bridging-finance-investors-with-hole-in-portfolios-for-now/ Wed, 30 Jun 2021 21:30:20 +0000 https://www.investmentexecutive.com/?p=424728 Some investors may see a zero on their June 30 statements

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]]> MFDA targets firms’ performance reporting https://www.investmentexecutive.com/news/from-the-regulators/mfda-targets-firms-performance-reporting/ Wed, 24 Feb 2021 20:14:04 +0000 https://www.investmentexecutive.com/?p=416781 Fund dealers were advised to examine their client reports for unusual or incorrect information

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