Home Lara Hertel

Capital markets must focus on compliance to bolster trust

Address potential conflicts of interest before they occur says Kennedy

  • May 28, 2004 May 28, 2004
  • 07:30

Scores improve in most categories: includes Main Chart

It may be the improved markets, but advisors are in better spirits — and giving better grades

  • April 30, 2004 November 6, 2019
  • 11:52

Brown stresses importance of investors’ trust

Speaks to launch of Investor Education Awareness campaign

  • April 5, 2004 April 5, 2004
  • 12:38

TSX-V launches campaign to promote venture markets

Exchange acts to get the message out

  • March 4, 2004 March 4, 2004
  • 16:15

Advocis releases best practices manual

Manual raises the bar for practice management

  • March 3, 2004 October 31, 2019
  • 13:40

Outlook for 2004 “pretty mediocre”

Bank economists split over timing of interest rate cuts

  • January 7, 2004 January 7, 2004
  • 14:10

New program targets advisors working with seniors

Elder Planning course starts this fall

  • September 2, 2003 September 2, 2003
  • 09:50

BCSC issues final sanctions in Canadian Global Investment matter

Fund salesman’s fine reduced

  • August 27, 2003 August 27, 2003
  • 13:45

Education efforts frustrate advisors

Ratings for ongoing training take a hit, while fewer advisors appear to hold designations

  • July 25, 2003 October 27, 2019
  • 14:00

Fundex beefs up compliance department

Appoints new VP

  • July 4, 2003 July 4, 2003
  • 09:35