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News Briefs: TMX in China

Toronto-based TMX Group Inc. opened an office for the Toronto Stock Exchange and TSX Venture Exchange in Beijing on Nov. 14.

CSA targets key exemptions

The Canadian securities Administrators is finally launching its review of the primary ways ordinary investors find themselves shopping

Industry opposition to Maple’s bid

Opponents fear a small, powerful group taking control of most of the trading and listing business and all of the clearing business

Leverage in the crosshairs

FAIR Canada wants better protection for investors who borrow

Fund Facts targeted

Securities regulators have struggled mightily to improved point-of-sale disclosure for mutual funds

Ahead of the pack

Hanif Mamdani, lead manager of PH&N High Yield Bond Fund and Investment Executive’s 2011 Fund Manager of the Year, refuses to overpay for securities, no…

  • By: Jade Hemeon
  • December 2, 2011 October 30, 2019
  • 14:01

Manulife’s woman on the move

With a resumé that spans Boston, Sydney and Dublin, Jacqui Allard aims to grow Manulife’s business in Canada and abroad

A financial spa for high net-worth clients

North Shore Credit Union’s branches include art galleries, Japanese screen doors and concierges offering hot towels and cappuccino

  • By: Olivia Li
  • November 14, 2011 October 30, 2019
  • 13:38

An end in sight to the Crocus affair?

Units of Crocus were pulled from the market in 2004

Tax Court considers GAAR

Recent, similar challenges by the CRA lead to mixed results

Non-compete clauses come under fire

A recent judgment says non-competition clauses must be specific —and don’t apply if someone is wrongfully dismissed

News Briefs: Canaccord BGF

Vancouver-based Canaccord Financial Inc. has completed its acquisition

Will regulators buy into Maple’s plan?

Proposal that would overhaul Canada’s capital markets still faces a major obstacle

Improving awareness of fraud

The CSA is putting an emphasis on the fact that frauds have moved to the online realm in a big way over the past while

Targeting emerging-market issuers

Investor advocates say that greater, not less regulation is needed for venture-exchange issuers that are based in emerging nations

“Dark trading” proposals too hasty?

Regulators want to protect investors, but critics say plans may hurt the market

Stepping up for exempt-market dealers

The EMDA and WEMA are taking a stand against the securities regulators

Focusing on CI insurance

The majority of Canadians are under-protected, poll finds

Feds looking to stop some RRSP swaps

Some RRSP-holders could face significant new taxes when the new law is enacted

Failure to launch

G20 makes some progress on global financial regulatory reform

Income strategies

Insurance-based products can provide a secure income stream

Future of OBSI is up in the air

The ombudsman has been challenged by banks, brokerage firms

Retiring with unprecedented debt

A new report finds average mortgage debt among retirees has doubled over the past decade — more than for any other age group

  • By: Olivia Li
  • October 31, 2011 October 30, 2019
  • 16:19

People briefs: Robert Hager passes away

Robert Hager, co-founder of Vancouver-based Phillips Hager & North Investment Management Ltd., passed away in early October. Founded by Hager, Art Phillips and Rudy North…

The power of persuasion

After more than 30 years of practising corporate and securities law in Toronto and New York, Stephen Erlichman has seen and studied much when it…