advisors – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 03 May 2024 21:48:43 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png advisors – Investment Executive https://www.investmentexecutive.com 32 32 OSC to increase focus on DIY investors https://www.investmentexecutive.com/news/from-the-regulators/osc-to-increase-focus-on-diy-investors/ Fri, 03 May 2024 21:04:50 +0000 https://www.investmentexecutive.com/?p=485207 The regulator also wants to toughen enforcement and see better advice given at banks

The post OSC to increase focus on DIY investors appeared first on Investment Executive.

]]> Laurentian sells retail brokerage to iA Financial https://www.investmentexecutive.com/news/industry-news/laurentian-sells-retail-brokerage-to-ia-financial/ Thu, 04 Apr 2024 21:26:58 +0000 https://www.investmentexecutive.com/?p=483161 Deal includes 16,000 accounts, $2 billion in assets, 30 advisors

The post Laurentian sells retail brokerage to iA Financial appeared first on Investment Executive.

]]> Advocis settles with SeeWhy over non-payment of study materials https://www.investmentexecutive.com/news/industry-news/advocis-settles-with-seewhy-over-non-payment-of-study-materials/ Thu, 04 Apr 2024 19:40:15 +0000 https://www.investmentexecutive.com/?p=483126 Association paid outstanding invoice, plus interest and majority of legal fees, SeeWhy says

The post Advocis settles with SeeWhy over non-payment of study materials appeared first on Investment Executive.

]]> SEC sanctions advisory firm for private messaging https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-advisory-firm-for-private-messaging/ Thu, 04 Apr 2024 18:39:57 +0000 https://www.investmentexecutive.com/?p=483140 Off-channel communications hamper regulatory oversight

The post SEC sanctions advisory firm for private messaging appeared first on Investment Executive.

]]> Julie Martini sues Advocis for constructive and wrongful dismissal https://www.investmentexecutive.com/news/industry-news/julie-martini-sues-advocis-for-constructive-and-wrongful-dismissal/ Fri, 22 Mar 2024 14:54:03 +0000 https://www.investmentexecutive.com/?p=482506 The claim is the third against the national financial advisors association in recent months

The post Julie Martini sues Advocis for constructive and wrongful dismissal appeared first on Investment Executive.

]]> Court upholds tribunal findings in Amaya case https://www.investmentexecutive.com/news/from-the-regulators/court-upholds-tribunal-findings-in-amaya-case/ Wed, 20 Mar 2024 19:33:28 +0000 https://www.investmentexecutive.com/?p=482414 Appeals by advisor, analyst in insider trading case dismissed

The post Court upholds tribunal findings in Amaya case appeared first on Investment Executive.

]]> B.C. court certifies vacation pay class action https://www.investmentexecutive.com/news/from-the-regulators/b-c-court-certifies-vacation-pay-class-action/ Wed, 20 Mar 2024 12:52:53 +0000 https://www.investmentexecutive.com/?p=482352 Lawsuits seeks damages for certain BMO advisors

The post B.C. court certifies vacation pay class action appeared first on Investment Executive.

]]> Why advisor E&O insurance premiums are rising https://www.investmentexecutive.com/newspaper_/news-newspaper/why-advisor-eo-insurance-premiums-are-rising/ Mon, 11 Mar 2024 04:01:00 +0000 https://www.investmentexecutive.com/?p=481447 A slower economy, inflation, higher legal fees contribute to increased rates

The post Why advisor E&O insurance premiums are rising appeared first on Investment Executive.

]]> Investors blindly trust advisors, FAIR Canada finds https://www.investmentexecutive.com/news/from-the-regulators/investors-blindly-trust-advisors-fair-canada-finds/ Tue, 30 Jan 2024 16:57:01 +0000 https://www.investmentexecutive.com/?p=479478 Study participants preferred to rely on the knowledge of professionals rather than learn about investing

The post Investors blindly trust advisors, FAIR Canada finds appeared first on Investment Executive.

]]> CIRO proposes personal corporations for reps https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-personal-corporations-for-reps/ Thu, 25 Jan 2024 21:23:02 +0000 https://www.investmentexecutive.com/?p=479285 SRO consults on options for resolving long-standing regulatory disparity

The post CIRO proposes personal corporations for reps appeared first on Investment Executive.

]]>