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Protecting consumers

There are signs of newfound interest in beefing up oversight of bank products

MFDA aims for continued growth of investor-protection fund

The fund, which covers client assets in case of bankruptcy, needs to surpass its original $30-million target, says its president

No shortage of options for IIROC arbitration reform

Proposed reforms range from raising the limit on arbitration awards to entirely new models for dispute resolution

A strong fourth quarter

Profit survey

Firms see tepid recovery

New data from the IIAC reveal that securities firms are returning to form

RRSP sales: Dynamic takes the lead

Investors step back in, but cautiously

New 3Macs chief to look for partners

Daniel Thompson, 3Macs’ president and CEO, says there is greater value in economies of scale

Living the dream: The pros and cons of U.S. real estate

Canadians are smacking their lips over the historically low property prices stateside, but understanding the red tape is key

IIROC finds Victoria broker fabricated client documents

More seriously, the IIROC panel found that Carolann Steinhoff had attempted to frustrate or obstruct investigators

CRA targets certain expenses, inter vivos trusts

The CRA’s two recent campaigns are part of a larger pattern of the agency becoming much more active in applying tax laws

R.J. O’Brien opens in Canada

Chicago-based futures brokerage has established an office in Winnipeg

ETFs: The next generation

Ken McCord is betting that more investors will opt for ETFs managed by top pros

M&A activity set to increase, but by how much?

Although some experts are expecting activity to rebound to record levels, others aren’t as bullish

People briefs: Lindley moves up at SSGA

Change at Citi Private Bank

Canada’s venture-capital pool keeps getting smaller

Industry participants warn that failure to fund innovation will be Canada’s loss in the long run

  • By: Paul Brent
  • March 8, 2010 February 2, 2019
  • 11:43

Creating a pension road map

Ottawa and provinces working on reform

Regulatory enforcement fines soar in 2009, CSA reports

The collapse of the ABCP market represented almost $139 million of the total that regulators levied during the year

Back-office service firm targets MGAs

FasTrac aims to capitalize on increased regulatory scrutiny and a push for faster processing

TD Bank’s global operations now carbon-neutral

The bank is the latest among some Canadian financial services institutions to become proactive on environmental issues

The elephant in the room

The uncertain prospect of a national regulator weighs on Ontario’s plans

ETFs storm the market

Exchange-traded funds are roaring ahead, as new innovations, such as actively managed ETFs and fund-of-funds products, expand the potential client base. Assets in Canadian ETFs…

Moving from client confidence to engagement

Although advisors report that clients have more confidence in them, objective measures must be employed to gather client feedback

New partnership adds muscle to MGA

PPI and Financial Management Group will be working together to develop more customized products for FMG advisors

New software tool aims to stamp out online fraudsters

The NBSC’s new program searches the Internet looking for suspicious websites based on a number of confidential indicators

New tools put focus on life stages

Helping clients and advisors be aware of issues in certain life stages is a major part of financial planning