News and resources for Canada's top financial advisors
Est. 1998
Products
Regulators are running full-tilt to protect the markets from intentionally abusive as well as unintentionally disruptive behaviour, Miranda Mizan, principal of the TABB Group said during a StreamBase webinar on new requirements for market surveillance. The flash crash of May 6, 2010, which saw the Dow Jones Industrial Average drop almost 600 points in about […]
By Dean DiSpalatro |May 13, 2011
2 min read
Planning and Advice
“Hi, I’m Andrew Symonds from Head Office; I’m calling to schedule your audit. What’s good for you the week after next?” A call like this from compliance, about an impending branch review examination, is a surefire trigger for the fright and flight response. But a branch review needn’t be a cat and mouse game. Nor […]
By Vikram Barhat |March 16, 2011
5 min read
Recent federal government regulations will allow banks and other financial institutions to do more business with customers online and electronically transmit documents currently mailed at hefty postage, printing, disposal and environmental costs.
By Richard E. Austin |January 27, 2011
3 min read
We use cookies to make your website experience better. By accepting this notice and continuing to browse our website you confirm you accept our Terms of Use & Privacy Policy.