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Asking for referrals: pick up the phone

New client research project from the SRO aims to explore what client segment would be most affected by the potential elimination of embedded commissions

Law Commission of Ontario proposes new rules relating to POAs

A new notice from the MFDA suggests the issue is prevalent and outlines the measure firms and reps should take to deal with it

Mutual fund firms face obstacles in offering ETFs

  • By: Jade Hemeon
  • December 22, 2016 December 22, 2016
  • 01:00

Connect Financial Services, which will maintain the Sentinel brand, plans to grow the firm organically and through acquisitions

These apps reduce clutter

New system uses Fundserv program, enables electronic signatures

The self-regulatory organization has retained Investor Economics to perform analysis on the geographic, demographic and wealth footprint of fund dealers’ clients

Most independent mutual fund dealers don’t expect to survive if investment dealers are permitted to field their own teams of mutual fund representatives. That’s according to the recently released results of a Mutual Fund Dealers Association of Canada (MFDA) consultation carried out with mutual fund dealers on the possible impact of the Investment Industry Regulatory […]

The goal is to promoted client awareness

  • By: IE Staff
  • December 2, 2015 December 19, 2017
  • 10:35

The deal for the Quebec-firm is expected to close in January.

  • By: IE Staff
  • November 23, 2015 November 23, 2015
  • 10:30

The purchase represents continued expansion as it adds $1.3 billion in AUA to Sterling Mutuals