Mutual fund dealers – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 05 Dec 2022 18:56:18 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Mutual fund dealers – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 New SRO should oversee Quebec’s fund dealers: IIAC https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/new-sro-should-oversee-quebecs-fund-dealers-iiac/ Mon, 05 Dec 2022 18:56:18 +0000 https://www.investmentexecutive.com/?p=456894 Trade group calls on provincial finance minister to review fund dealer oversight

The post New SRO should oversee Quebec’s fund dealers: IIAC appeared first on Investment Executive.

]]> Single-security ETFs present benefits, challenges https://uat-phoenix.investmentexecutive.com/news/products/single-security-etfs-present-benefits-challenges/ Thu, 01 Dec 2022 21:14:44 +0000 https://www.investmentexecutive.com/?p=456761 Panellists discussed the funds during the ETFGI summit

The post Single-security ETFs present benefits, challenges appeared first on Investment Executive.

]]> Penalties for pre-signed forms hit advisors’ pocketbooks hard https://uat-phoenix.investmentexecutive.com/news/industry-news/penalties-for-pre-signed-forms-hit-advisors-pocketbooks-hard/ Mon, 20 Jun 2022 14:02:07 +0000 https://www.investmentexecutive.com/?p=446675 Revisiting the perennial and costly MFDA infraction

The post Penalties for pre-signed forms hit advisors’ pocketbooks hard appeared first on Investment Executive.

]]> Carte Wealth appoints new president https://uat-phoenix.investmentexecutive.com/news/people/carte-wealth-appoints-new-president/ Thu, 05 May 2022 16:03:19 +0000 https://www.investmentexecutive.com/?p=443824 Maria Jose Flores was named the firm's president on May 3, and she plans to take the dealer to $50B in AUA

The post Carte Wealth appoints new president appeared first on Investment Executive.

]]> Mutual funds remain paramount for dealer advisors https://uat-phoenix.investmentexecutive.com/newspaper_/advisors-report-card/mutual-funds-remain-paramount-for-dealer-advisors/ Tue, 12 Oct 2021 04:05:00 +0000 https://www.investmentexecutive.com/?p=430318 Meanwhile, equities and ETFs have gained portfolio share for brokerage advisors

The post Mutual funds remain paramount for dealer advisors appeared first on Investment Executive.

]]> Banks’ shrinking shelves no surprise to regulators, industry https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/banks-shrinking-shelves-no-surprise-to-regulators-industry/ Tue, 14 Sep 2021 20:56:06 +0000 https://www.investmentexecutive.com/?p=428657 Loss of third-party fund distribution seen as "unintended consequence" in 2018

The post Banks’ shrinking shelves no surprise to regulators, industry appeared first on Investment Executive.

]]> FundEX merges with Investia https://uat-phoenix.investmentexecutive.com/news/industry-news/fundex-merges-with-investia/ Mon, 05 Jul 2021 15:22:16 +0000 https://www.investmentexecutive.com/?p=424758 Both firms now operate under the Investia banner

The post FundEX merges with Investia appeared first on Investment Executive.

]]> Assets under pressure https://uat-phoenix.investmentexecutive.com/newspaper_/dealers-report-card/assets-under-pressure/ Mon, 14 Jun 2021 04:10:00 +0000 https://www.investmentexecutive.com/?p=423110 Mutual fund advisors’ books shrank, but productivity increased

The post Assets under pressure appeared first on Investment Executive.

]]> Fund dealers focus on middle-class investors https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fund-dealers-focus-on-middle-class-investors/ Mon, 26 Oct 2020 18:47:16 +0000 https://www.investmentexecutive.com/?p=409670 The average client has $75,000 in assets and is saving for retirement, an MFDA report says

The post Fund dealers focus on middle-class investors appeared first on Investment Executive.

]]> Agora partners with Pascal Financial https://uat-phoenix.investmentexecutive.com/news/industry-news/agora-partners-with-pascal-financial/ Wed, 29 Jul 2020 16:14:46 +0000 https://www.investmentexecutive.com/?p=404849 With the deal, Agora aims to strengthen its cloud-based wealth management platform

The post Agora partners with Pascal Financial appeared first on Investment Executive.

]]>