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BMO buys CTC

News brief

Jovian purchase

News brief

Leverage class action certified

Retail clients in Barrie, Ont., who lost big on leveraged investments, are suing their former advisors in a class action

Regulators ramp up enforcement activity

IIROC has issued almost as much in disciplinary sanctions during the first quarter of 2012 as it did during calendar 2011 as a whole

Provinces focus in on spending cutbacks

Canada's provinces must limit their spending to balance their budgets. But the task will be more challenging for some

Investor protection office fails to launch

The OSC's plan to open its new Office of the Investor on April 1 has not materialized, but it remains a top priority

A mixed bag in Q4: Financial Services Profit Survey

There is no one consistent theme in financial services, as results were all over the map during the final quarter of 2011

Retooling Sun Life

After a tough 2011, Sun Life Financial says it has a multi-pronged plan to boost performance in several sectors by 2015

Regulatory gaps can create client risks

A case underway before the MFDA shows how the divvying up of regulation may compromise investors

Redrawing rules for the exempt market

A wide range of views on CSA paper

People Briefs: Robertson joins McLean

Changes at Ace Canada

Have mandate, will travel

Martin Hubbes is making good use of his German and French at AGF, where he’s “head coach and cheerleader” for the global team

B.C. takes a “prudent” approach

Liberal Christy Clark, facing her first election as premier next year, tables a careful but consumer-friendly budget

A rise in investments

Although venture- capital investments in Canada rose slightly in 2011, concerns exist that there remains a funding shortfall

Weak markets hit LSIF sector

The recent decision by Vancouver-based GrowthWorks Capital Ltd. to suspend sales and distributions of its GrowthWorks Canadian Fund may signal more than just the cash…

Firm turns focus to risk management

Calgary-based investment-counselling firm McLean & Partners Wealth Management Ltd. has adjusted its business model since the 2008 financial crisis to assuage its high net-worth clientele.…

  • By: Olivia Li
  • March 5, 2012 October 30, 2019
  • 12:45

Benefits not payable after policy lapse

An unusual life insurance judgment has been overturned by the B.C. Court of Appeal

Recession, regulation weighing on banks

Canadian banks are more concerned than their global counterparts about the burden of the new regulatory regime

Online checks: When it’s OK

By comparing your business practices with privacy laws, you may be able to use the web in limited ways to research people

Be careful who you Google

Financial advisors using social media or Internet search websites to conduct background checks on job candidates or clients could be violating privacy laws. However, the…

FPSC: Clients in the dark

Only a minority of clients are aware of their financial advisor’s designations and ethical requirements

  • By: Paul Brent
  • March 5, 2012 October 30, 2019
  • 12:00

PRPPs and advisors

Pooled plans could present business opportunities for advisors who have clients who own businesses

Regulators are “hitting on all cylinders”

Although securities regulators’ enforce-ment numbers were down in 2011, they are stepping up in other key areas

Couples divided on retirement savings

Opportunity exists for financial advisors to help couples bring their retirement planning in line

News Briefs: Macquarie expands

CI acquisition