Audit process generates mixed views
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
There are conflicting opinions about regulators' auditors and the approach they take during the auditing process
Although regulators usually provide quick responses to registrants, the replies are too cautious in the content they provide
COs and company executives indicated that regulators could take steps to make their policies clearer and more flexible
Fewer resources or smaller compliance departments are making the regulatory burden more onerous for smaller firms
A slight, but nonetheless vocal majority believe now is the time to eliminate embedded commissions
An IIROC/MFDA merger, which 80% of survey participants support, has been the subject of long-running debate
For the eighth year in a row, compliance officers (COs) and company executives throughout the investment industry shared their thoughts about the regulators.
Despite volatile markets, an uncertain economic environment and increasing regulation, Canada's regulators are holding their own
TD Asset Management Inc. of Toronto has added five series to two of its fixed-income mutual funds. TD Canadian Corporate Bond Fund and TD U.S.…
Toronto-based First Asset Investment Management Inc. has added five ETFs to its corporate-class lineup. The following ETFs launched in March: First Asset Short Term Government…
Toronto-based BMO Investment Inc. intends to close six of its mutual funds by the end of June. As of June 28, the following funds will…
Toronto-based Purpose Investments Inc. has added an exchanged-traded fund (ETF) and a mutual fund to its suite of products. Purpose U.S. Cash ETF and Purpose…
Management fees will be reduced later this year on a slew of mutual funds sponsored by Toronto-based RBC Global Asset Management Inc. (RBCGAM). Effective June…
Advisors need to consider the possibility that interest rates could drop below zero
Portfolio managers of energy-based equity funds say oil prices will rebound, but are uncertain about when
DBRS, a Canadian institution for 40 years, is now U.S.-owned, run out of New York and on an expansion drive. But the new head of…
New disclosure rules may be here, but there is still lack of agreement on how investment risks should be measured
The new rules that have opened the exempt market to retail investors also offer enhanced investor protection
The big banks are starting to feel pain as a result of low oil prices and may have to cut dividends or raise more capital
The reality is that trying to predict the price of gold is like trying to forecast the path of a tornado
The price of gold has shot up in only a few months from new lows last autumn. Mining shares have gained strongly as a result.…
IIROC believes the current social media rule works
Insurance firms can gain a better understanding of their clients
Industry lobbyists feel that ombudsman favours investors
Immigration in Canada is on the rise. So, dealing with newcomers to Canada will be an important part of many advisors' business
After the traditional tax-minimization strategies have been used, you can recommend more sophisticated approaches, such as insurance and charitable-giving strategies, to preserve clients' wealth
When you meet clients who are dissatisfied with their current advisor, there are certain rules and guidelines you should follow. Find out why these prospects…
Jeff Hull is driven by a desire to find out what makes an investment tick. Hull, an advisor with Manulife Securities in Mississauga, Ont., also…
The authors of a new book designed to help people manage negative situations that are unlikely to change recommend detaching from bad feelings with a…
A good contact-management system handles both the collection and the organization of contact details. There are several ways to capture client information - even on…
The period leading up to your succession is not a time to slow down rather, work harder to increase the value of your business. And…
Most people are unmoved by facts and figures that appeal on a rational level. The best way to motivate and connect with clients and prospects…
Editorial
A family cottage is often about both work and play. When the first gets to be too taxing, it may be time to let someone…
More in-depth research is needed at the account level to understand the full implications of regulation on advisors' compensation
The Conservatives could use some sympathy. Problems range from finding an appealing new leader to tackling issues the party often has avoided: health care and…
