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Wooden gavel used by a judge or auctioneer

BDO settles with OSC for $3.5M over substandard audits

Settlement relates to accounting firm's oversight of two Crystal Wealth funds

hand pulling financial business graph to high growth rate

ETF sales hit record high in 2019

Positive sales and market effect benefited both ETFs and mutual funds last year, IFIC says

  • By: Staff
  • January 24, 2020 January 24, 2020
  • 13:02
court gavel regulatory

IIROC fines Toronto brokerage $100,000 for suitability failures

The firm didn't question the concentration in a high risk, exempt market product, the agreement said

Business man looking at big bright opened door concept

Matt Evans named CEO of CWB Wealth Management

Evans succeeds David Schaffner, who announced his retirement in December

Changes to two NEI funds approved

Multiple changes, including to fees, were accepted by unitholders

  • By: Staff
  • January 24, 2020 January 24, 2020
  • 11:33

Horizons, Dynamic make changes to certain funds

Horizons announced name changes Friday, while Dynamic changed risk ratings

  • By: Staff
  • January 24, 2020 January 24, 2020
  • 11:02
Justitia, the goddess of justice

Ex-securities rep turned mortgage salesperson charged by Manitoba court

The man faces more than 50 counts tied to alleged violations of The Securities Act and mortgage legislation

  • By: Staff
  • January 23, 2020 January 23, 2020
  • 11:18
Solution

CSA to study ban on trading fee rebates — under one condition

Canadian regulators are prepared to carry out the study, but only if their U.S. counterparts follow suit

Corruption illegal criminal activity tax evasion economy ponzi scheme concept. Closeup man hand hiding tax card in a sleeve of a suit isolated on gray wall background

‘Significant information’ uncovered on suspected global tax evasion scheme

The CRA participated in an investigation that took place in "multiple countries"

  • By: Staff
  • January 23, 2020 January 23, 2020
  • 12:11
Business people holding trophy award after win competitor.

Fundata awards go to 53 companies

Hundreds of funds were awarded A+ grades for 2019

  • By: Staff
  • January 24, 2020 January 24, 2020
  • 10:18
Florist

Retail sales got a boost in November

The 0.9% increase in sales largely offset the 1.1% decline in October

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MFDA announces compliance priorities for year ahead

The SRO wants to make sure firms’ client reporting is accurate

Tokyo nightlife crowded streets and colourful neon shopping signs Japan

What’s driving Japanese equities

Investors should watch how tax reform and corporate governance changes play out

Background of Canadian money: 5,10,20,50,100 dollar bills and coins, loonie, toonie, quarter, dime, nickel, penny

EQ Bank offering 2.45% interest rate

The move comes after Wealthsimple launched a new product

  • By: Staff
  • January 23, 2020 January 23, 2020
  • 12:23
Unrecognizable man digs a hole by shovel in garden

Discuss these burial options with your clients

In addition to being buried or cremated, your client can be mummified or launched into space

Canadians have mortgage concerns

Advisors can help clients worried about home ownership

  • By: Staff
  • January 10, 2020 January 10, 2020
  • 12:06

Top 5 practice management articles from 2019

It was another year of dramatic change in the wealth management industry

  • By: Staff
  • December 23, 2019 December 23, 2019
  • 12:00

IIROC’s revised CE rules to take effect Jan. 1

Advisors could face suspensions if their firms don’t report credits on time