Newsmaker: Regulation, with a global focus
The AMF's Julien Reid is driven by a commitment to the protection of policyholders and customers
- By: Megan Harman
- October 8, 2015 November 9, 2019
- 23:00
The AMF's Julien Reid is driven by a commitment to the protection of policyholders and customers
PTFs, which target investors who work with fee-based advisors, have much lower costs than Series F funds
MSCI and Morningstar also will increase the information they share regarding the environmental impact of funds and stocks
New CSA study finds that very few issuers have adopted policies aimed at having women on their boards or in executive ranks
The province will follow in the footsteps of Nova Scotia, where the CEDIF model has been successful
Industrial Alliance adds 30 advisors and $700 million in AUA to its securities-dealer subsidiary
MFDA calls for an end to falsified signatures
When a firm changes its name and logo, much is at stake. A rebranding requires buy-in from stakeholders
Investor outlooks don't match their portfolios
Digitally delivered financial advice is already making inroads into the advisory business, with much more to come. Younger, less affluent clients are the main users…
International study finds that clients increasingly are looking for seamless financial advice and products
Some small dealers contend that they are overregulated, and that the regulatory burden tends to favour larger companies
The SRO has proposed rule changes for fund dealer reps who want to be planners
Analysis
ETFs designed to take advantage of large market swings can be profitable in the short term, but are not for the faint of heart
More and more parents are delaying retirement to ensure there is enough in the bank to help their children take flight
David Scandiffio, who recently took over at CIBC Asset Management, believes that a winning attitude is contagious
The new Digital Privacy Act includes provisions to give added protection to vulnerable individuals
More than half the companies surveyed had improved results. There were also some increases in quarterly dividends
Make better use of existing programs, such as group RRSPs and TFSAs, and use public information campaigns, group says
New, larger institution would be able to take on the banks
Dennis Mitchell, former CIO with Sentry Investments, is a key element in Sprott's diversification strategy
Metroland Media's investment will help Nest Wealth, a robo-advisor, promote its brand digitally and in traditional media
The new Digital Privacy Act has important implications for firms
In the absence of progress from the SEC and FINRA, the U.S. Department of Labor is pushing its own proposal