The program includes five risk-targeted Morningstar portfolios consisting of mutual funds, pooled funds and ETFs
The results of the review of 65 small firms also provides additional guidance for these firms to meet their obligations
Barrantagh Investment Management will take over as portfolio advisor for Scotia Private Canadian Mid Cap Pool as of June 1
Although regulators don’t oppose these arrangements, it stresses that dealers and portfolio managers must satisfy their regulatory obligations
Transcend Direct is being ushered in as a response to the financial services industry’s new regulatory and technological environment
Portfolio managers Jonathan Norwood and Richard Wong succeed Lawrence Chin and Andrew Massie
The expansion will bring the independent investment-management firm closer to 40% of its client base
After filling a risk profile online, clients will be contacted by Antya Investments’ founder and portfolio manager to discuss investment options
Moves in the Canadian Fundamental Equity Team and U.S. Core Value Equity Team as a result of the imminent departure of two senior portfolio managers
Rick Weed takes over for departing Chuck Bastyr, among other changes