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Financial services profit survey: Mixed results in Q2

One trend that persisted in the quarter is that consolidation is continuing, with many transactions announced in Q2

Advisory panel gains traction

The OSC’s investor advisory panel has produced four substantive comments on regulatory policy initiatives in one year

  • September 23, 2011 October 30, 2019
  • 10:56

Social media networking

Study shows that more advisors are using it

  • By: Olivia Li
  • September 23, 2011 October 30, 2019
  • 10:56

Flying under the radar

Regulators are increasingly concerned about firms operating as exempt market dealers — and outside their oversight

  • September 23, 2011 October 30, 2019
  • 10:56

New anti-spam law could hurt advisors

New law would prohibit the sending of commercial electronic messages without the prior consent of the recipient

Laurentian bulks up

Two deals will help bank generate more fee-based income

  • September 23, 2011 October 30, 2019
  • 10:56

CRA extends leniency for TFSA errors

The taxman is working with banks and others to do a better job of explaining the rules for TFSAs

Aiming for the pole position

Monique Gravel wants to boost performance at CIBC Wood Gundy by raising productivity and promoting a culture of excellence

New TMX system is key to market share

TMX Select is expected to compete head-on with rival alternative trading systems such as Chi-X Canada and Alpha Trading Systems

New network targets the wealthy

InvesTank 888 is the second such network to become operational in Canada

Advice on difficult equities markets

Jeremy Siegel suggests focusing on high-dividend stocks, as well as on companies with low price/earnings ratios

  • By: Jade Hemeon
  • August 29, 2011 October 30, 2019
  • 11:05

Class actions gain momentum

Financial services firms could face massive payouts for claims ranging from employment issues to investment advice

IIROC enforcement on the rise

The SRO has been much busier than usual through the first seven months of 2011, particularly when it comes to disciplining individuals

OSC turns focus to investment funds

The new investment fund product advisory committee will inform the OSC’s development of policy and its operational work

Ontario to update insurance regulation

The province is aiming to explore the consistency of its rules with those of other provinces

Jovian shows its value

After selling a clutch of businesses, Jovian will have about $117 million in capital to explore prospective new investments

Gripes hit OBSI

Critics say OBSI isn't transparent, does not act impartially

Costs, fees on the rise

Staffing costs are driving most increases

Staying the course in wild markets

Tweaking portfolios — not major surgery — may be required

Concentrated focus, big returns

David Franklin, who recently took over as president of Sprott Private Wealth, is looking to add new services such as estate planning, asset allocation

Emerging markets present new risks

Clients who invest in emerging markets may be exposed to individual company risks rather than country-related risks

The target: Foreign asset managers

Canadian banks look abroad to diversify, cross-sell products and boost fee-based revenue

China-based firms in the crosshairs

A mid growing investor concern about the quality of China-based firms tapping the international capital markets, New York-based credit-rating agency Moody’s Investors Service Inc. recently…

Trading technology

Global and domestic regulators are struggling to develop a framework of rules to govern electronic trading

BetaPro wants to get bigger faster

Acquisition of controlling interest by South Korea-based firm gives Canadian ETF company more financial muscle