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Gavel

Requiring brokerage firms to disclose whether they have E&O insurance could enhance investor protection

business documents on office table with smart phone and digital tablet and graph business with social network diagram and man working in the background

DBRS reports that TD expects a sizeable re-evaluation gain at closing

Hands Giving & Receiving Money

TD Bank will hold a 13% stake in the combined company

businessman searching with binoculars

The rating agency said it expects industry consolidation to continue

Cyber Protection Lock and Password

The American SRO looks at phishing, mobile devices and insider threats

  • By: Staff
  • February 13, 2019 February 13, 2019
  • 13:41
Close up of senior woman on tablet

The partnership allows clients to aggregate their assets from other financial institutions

  • By: Staff
  • January 28, 2019 January 28, 2019
  • 11:00
wall street, new york city

Proposed rule applies only when a broker makes a recommendation

  • By: Staff
  • November 13, 2018 November 13, 2018
  • 16:35

Is IIROC interpreting "recommendation" too broadly?

If your client is looking for a mortgage broker, make sure her first stop is the new national database of disciplined mortgage brokers. Read: What should your clients do with their ‘mortgage gap’ money? The database was developed by the Mortgage Broker Regulators’ Council of Canada (MBRCC), and integrates disciplinary records from most provincial regulators, […]

  • By: Staff
  • April 3, 2017 August 21, 2018
  • 16:20

The abundance of investment advice online has been a steady force behind client migration toward self-directed investing. Now an Australian financial data startup, Simply Wall St, is taking a run at the Canadian market, hoping investors will pay annual subscription fees for access to market data, infographics and equities analysis. Simply Wall St launched in […]

  • By: Simon Doyle
  • February 23, 2017 August 21, 2018
  • 09:21