Pro-Financial Asset Management Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 07 Jun 2019 16:11:02 +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 Pro-Financial Asset Management Inc. – Investment Executive https://www.investmentexecutive.com 32 32 Pro-Financial and former CEO fined for breaching securities laws https://www.investmentexecutive.com/news/research-and-markets/pro-financial-and-former-ceo-fined-for-breaching-securities-laws/ Tue, 24 Apr 2018 21:45:03 +0000 https://www.investmentexecutive.com/?p=349435 Registrants must not place their self-interest ahead of the interests of investors, OSC panel says

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]]> Pro-Financial breached securities laws, OSC panel finds https://www.investmentexecutive.com/news/from-the-regulators/pro-financial-breached-securities-laws-osc-panel-finds/ Mon, 24 Apr 2017 20:30:00 +0000 https://www.investmentexecutive.com/uncategorized/pro-financial-breached-securities-laws-osc-panel-finds/ The breaches include numerous administrative, accounting, compliance and oversight failures

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]]> OSC rejects motion to dismiss allegations https://www.investmentexecutive.com/news/from-the-regulators/osc-rejects-motion-to-dismiss-allegations/ Tue, 01 Dec 2015 19:50:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-rejects-motion-to-dismiss-allegations/ Stuart McKinnon, founder of Pro-Financial Management Inc., sought to dismiss allegations against him involving principal-protected notes

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]]> OSC denies registration for Pro-Financial founder https://www.investmentexecutive.com/news/from-the-regulators/osc-denies-registration-for-pro-financial-founder/ Mon, 14 Sep 2015 16:50:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-denies-registration-for-pro-financial-founder/ Stuart McKinnon had sought an exemption to register with De Thomas Financial

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]]> OSC bans former Pro-Financial compliance chief https://www.investmentexecutive.com/news/from-the-regulators/osc-bans-former-pro-financial-compliance-chief/ Mon, 29 Jun 2015 16:50:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-bans-former-pro-financial-compliance-chief/ The settlement stems from allegations of internal control failures at the firm

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]]> Kingship rebrands as Smart https://www.investmentexecutive.com/news/products/kingship-rebrands-as-smart/ Mon, 19 Jan 2015 15:00:00 +0000 https://www.investmentexecutive.com/uncategorized/kingship-rebrands-as-smart/ The investment manager also plans to re-brand Pro-Index Funds

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]]> OSC approves revised Kingship, Pro-Financial deal https://www.investmentexecutive.com/news/from-the-regulators/osc-approves-revised-kingship-pro-financial-deal/ Thu, 17 Jul 2014 14:20:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-approves-revised-kingship-pro-financial-deal/ The transaction will likely be positive for unitholders of the Pro-Index Funds, the OSC says

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]]> OSC to reconsider Kingship’s acquisition plans https://www.investmentexecutive.com/news/from-the-regulators/osc-to-reconsider-kingships-acquisition-plans/ Fri, 04 Jul 2014 17:10:00 +0000 https://www.investmentexecutive.com/uncategorized/osc-to-reconsider-kingships-acquisition-plans/ Kingship seeks new hearing on proposed acquisition of Pro-Financial’s investment management agreements

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]]> Pro-Financial ordered to suspend distribution of index funds https://www.investmentexecutive.com/news/from-the-regulators/pro-financial-ordered-to-suspend-distribution-of-index-funds/ Wed, 28 May 2014 12:50:00 +0000 https://www.investmentexecutive.com/uncategorized/pro-financial-ordered-to-suspend-distribution-of-index-funds/ OSC says there remains a discrepancy in the records of certain principal-protected notes

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]]> Pro-Financial ordered to stop selling funds to new investors https://www.investmentexecutive.com/news/from-the-regulators/pro-financial-ordered-to-stop-selling-funds-to-new-investors/ Tue, 18 Mar 2014 20:40:00 +0000 https://www.investmentexecutive.com/uncategorized/pro-financial-ordered-to-stop-selling-funds-to-new-investors/ Distribution of Pro-Index Funds to new investors to cease

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