Don’t go down with your client’s ship
Use these three steps to deal with clients who insist on unsuitable investments
Top stories
Two financial planners receive FP Canada’s Fellow distinction
Shawn Brayman, R. Paul Thorne recognized for their ‘many contributions to the profession’
Vancouver home sales down 3.8% in September
Greater Vancouver Realtors says lower rates fail to entice buyers
Tribunal bans former Bay Street exec, again
Regulatory order breach results in fine, disgorgement and a new ban
- By: James Langton
Global new issue activity up this year
JPMorgan tops global league tables, RBC ranks as top Canadian firm
- By: James Langton
Product roundup: J.P. Morgan Asset Management launches its first ETFs in Canada
The funds are part of the firm’s Canadian expansion plans
- By: Noushin Ziafati
RBC DS sanctioned for trading rule breach
Block trade in interlisted stock was executed off-exchange without regulatory approval
- By: James Langton
Five ways to provide better advice
Improve client engagement by understanding human behaviour
- By: Jonathan Got
CFTC sanctions Barclays’ swaps reporting
Firm's lower fine reflects cooperation, remediation efforts, regulator says
- By: James Langton
Avoid being sued over KYP shortfalls, expert tells IAFP symposium
Advisors should conduct independent analysis, educate clients, write detailed notes
- By: Jonathan Got
Japan’s central bank survey underpins optimism about growth
The world’s fourth largest economy grew at an annual rate of 2.9%
- By: Yuri Kageyama
High yield, loan default rates rise: Fitch
Economic, financial pressures combined with industry-specific factors drive defaults
- By: James Langton
Man convicted in the U.K.’s first crypto ATM case
Unregistered network enabled possible tax evasion, money laundering, regulator says
- By: James Langton
Indigenous-related capital markets activity set to grow, report says
More than $13 billion in project financing is available to Indigenous communities through government programs, Morningstar DBRS says
- By: Canadian Press
Digital tools to help build client relationships
Get ready to move beyond the PDF
- By: Jonathan Got
Global money market funds enjoy strong flows: Fitch
Fund flows seen slowing in months ahead as rates ease
- By: James Langton
LIBOR finally put to rest
Synthetic settings cease, marking last step in major benchmark reform
- By: James Langton
Brand Knowledge
Why are passive ETFs a low-cost solution for investors?
Learn how passive ETFs are growing in demand and can complement active strategies
- By: Desjardins
Fraudsters can now escape penalties through bankruptcy. That’s absurd