Industry

Prevent competitors from scooping your clients

You’re meeting a prospect over coffee and presenting compelling reasons she should leave her advisor and transfer her account to you. In the next booth your competitor is having a similar conversation with your best client, asking him to jump ship.

By Bryce Sanders |March 18, 2013

3 min read

Is your private financial data secure?

Companies are busy ramping up their use of both social media and online platforms and systems. So, regulatory frameworks are continually evolving to ensure the financial services industry remains secure.

March 18, 2013

3 min read

SEC may become more aggressive

We may soon see intense SEC regulatory actions against large U.S. corporations.

By Philip Porado |March 18, 2013

3 min read

OSC issues investor alert

The Ontario Securities Commission (OSC) is warning Ontario investors not to invest with Felmina Alliance Ltd. (“Felmina”), which purports to be located in Panama City, Panama and to have numerous representatives in Ontario and elsewhere in Canada.

By Staff |March 15, 2013

1 min read