The SRO is looking to expand its MOU with FSCO to include reciprocal discipline in areas such as outside business activities and borrowing from clients
Compliance must play a greater part in ensuring they understand advisors’ OBAs before approving them as well as supervising these activities once approval has been granted
New York-based firm has already expanded into Europe and Japan
Many of your older clients fear outliving their nest eggs in retirement
As social media gains prominence as a marketing tool for advisors, access is more critical than ever. The firms that provide access to the online platform along with support are praised, while firms that restrict the use of social media are criticized
A new report from Morneau Shepell finds that diversified pooled pension fund managers underperformed the benchmark as international and global equities fuelled the decline
The regulator is also taking a proactive approach to members’ concerns about cost and compensation reporting coming into effect with CRM2
It’s likely most of the large mutual fund companies and banks will start getting into this space, ETF industry expert suggests
The robo-advisor firm will launch Nest Wealth Pro, a technological tool that keeps the advisor as the focal point of a relationship with a client, in the third quarter
A product lineup that will grow to more 30 than factor-tilted, smart beta ETFs will distinguish Sphere from its competitors, says the firm’s founder and CEO