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Keyword: Mutual fund dealers

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advisor client meeting

Investors in “uneasy relationship” with advisors, study shows

FAIR Canada research finds investors worry about fees and suitability, and have low faith in regulatory protections

Grand opening, cutting red ribbon

No-name SRO takes flight

The new agency's leadership is dominated by former IIROC personnel

Quebec flag billowing in the breeze

New SRO should oversee Quebec’s fund dealers: IIAC

Trade group calls on provincial finance minister to review fund dealer oversight

man calculates money. piggy bank and business documents on desk

Single-security ETFs present benefits, challenges

Panellists discussed the funds during the ETFGI summit

Signing contract form

Penalties for pre-signed forms hit advisors’ pocketbooks hard

Revisiting the perennial and costly MFDA infraction

Close up of Business people shaking hands, finishing up meeting, business etiquette, congratulation, merger and acquisition concept

Carte Wealth appoints new president

Maria Jose Flores was named the firm's president on May 3, and she plans to take the dealer to $50B in AUA

advisor on top

Mutual funds remain paramount for dealer advisors

Meanwhile, equities and ETFs have gained portfolio share for brokerage advisors

Wooden shelves on the wall with golden piggy bank, isolated on white, 3D illustration.

Banks’ shrinking shelves no surprise to regulators, industry

Loss of third-party fund distribution seen as "unintended consequence" in 2018

Horn speaker for public relations sign symbol, vintage color - sun with blue sky

FundEX merges with Investia

Both firms now operate under the Investia banner

  • By: IE Staff
  • July 5, 2021 July 5, 2021
  • 11:22
covid-19 impact markets

Assets under pressure

Mutual fund advisors’ books shrank, but productivity increased