Questions about proper registration concerning Daniel Sternberg, Parkwood GP and Philco Consulting were uncovered during a hedge fund sweep in 2009
Some Canadian advisors will have to register in the U.S. for the first time
Survey results reinforce the client-service orientation of advisors considering independence
The company and its two officers are not registered
Kennedy unsuitable as a registrant, executive director concludes
The proposed dealer regulation fee model will charge a $250 fee for each registered individual
Investors cautioned not to purchase securities
With more clients heading for the sun, make sure you don’t execute orders that could run afoul of foreign securities laws
Bob Fleischacker, a partner with Stonehaven Financial Group Inc. in Unionville, Ont., discusses why his firm switched from the MFDA platform to IIROC. He describes the challenges his team faced and the benefits of making the move. He spoke with Dan Richards of clientinsights.ca at the TMX Broadcast Centre.
Draft is a response to rule changes resulting from registration reform
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vdGFnL3JlZ2lzdHJhdGlvbi9wYWdlLzE5Lw(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)TmRLb0E5QzE(dmlzaXRLZXk)aFVaVFlQZHA){kind=small}