Peak Financial Group – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 17 Sep 2020 15:13:11 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Peak Financial Group – Investment Executive https://www.investmentexecutive.com 32 32 PEAK settles overcharging, supervisory allegations https://www.investmentexecutive.com/news/from-the-regulators/peak-settles-overcharging-supervisory-allegations/ Thu, 17 Sep 2020 15:13:11 +0000 https://www.investmentexecutive.com/?p=407257 The firm reported that clients had paid trailers on fee-based accounts

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]]> PEAK settles with MFDA https://www.investmentexecutive.com/news/from-the-regulators/peak-settles-with-mfda/ Wed, 05 Aug 2020 21:42:45 +0000 https://www.investmentexecutive.com/?p=405149 Fund dealer admits to not fully investigating suspected rep misconduct

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]]> Fund rep banned for thwarting MFDA investigation https://www.investmentexecutive.com/news/from-the-regulators/fund-rep-banned-for-thwarting-mfda-investigation/ Wed, 13 Nov 2019 16:49:52 +0000 https://www.investmentexecutive.com/?p=390604 The former rep was being investigated for allegedly liquidating his father's investment accounts

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]]> Peak pioneers platform fund trading for fund reps https://www.investmentexecutive.com/news/industry-news/peak-pioneers-platform-fund-trading-for-fund-reps/ Thu, 11 Jul 2019 14:56:44 +0000 https://www.investmentexecutive.com/?p=384444 It's the first fund dealer to offer its reps direct access to platform-traded funds

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]]> Newsmaker: A home for independent advisors https://www.investmentexecutive.com/newspaper_/news-newspaper/newsmaker-a-home-for-independent-advisors/ Fri, 12 Oct 2018 04:17:00 +0000 https://www.investmentexecutive.com/?p=356979 Stéphane Dulude will be drawing on his experience to help Peak Financial Group expand its footprint outside Quebec

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]]> Peak settles with AMF on compliance deficiencies https://www.investmentexecutive.com/news/from-the-regulators/peak-settles-with-amf-on-compliance-deficiencies/ Tue, 05 Jun 2018 15:25:37 +0000 https://www.investmentexecutive.com/?p=350974 A 2016 review found weaknesses in the firm’s internal controls and supervisory systems

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]]> Peak hires Stéphane Dulude https://www.investmentexecutive.com/news/people/peak-hires-stephane-dulude/ Wed, 14 Feb 2018 17:00:18 +0000 https://www.investmentexecutive.com/?p=346460 As vice president of business development, Dulude will be responsible for managing the firm’s recruitment efforts across Canada

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]]> Joanne De Laurentiis appointed to Peak’s board of advisors https://www.investmentexecutive.com/news/people/joanne-de-laurentiis-appointed-to-peaks-board-of-advisors/ Thu, 23 Feb 2017 15:30:00 +0000 https://www.investmentexecutive.com/uncategorized/joanne-de-laurentiis-appointed-to-peaks-board-of-advisors/ De Laurentiis has more than 30 years of experience in the financial services sector, most recent as president and CEO of IFIC

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]]> Peak establishes partnership with L.E.S. Financial Services https://www.investmentexecutive.com/news/industry-news/peak-establishes-partnership-with-l-e-s-financial-services/ Wed, 07 Dec 2016 20:40:00 +0000 https://www.investmentexecutive.com/uncategorized/peak-establishes-partnership-with-l-e-s-financial-services/ Peak Insurance Services will add more than 6,000 clients to its roster as a result of the deal with L.E.S, which provides insurance services to health-care professionals

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]]> Peak’s mutual fund advisors to sell ETFs https://www.investmentexecutive.com/news/products/peaks-mutual-fund-advisors-to-sell-etfs/ Thu, 01 Dec 2016 21:30:00 +0000 https://www.investmentexecutive.com/uncategorized/peaks-mutual-fund-advisors-to-sell-etfs/ The firm joins Mandeville among the first mutual fund dealers to provide advisors with products typically accessible only through securities dealers

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