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Keyword: Ethics

26 results found
Indecisive and lost man chooses the right path

An expert panel urged advisors to strictly adhere to a code of ethics

Competence is no longer enough

Privacy breaches could be career-ending

low key image of trophy over wooden table and dark background, with abstract shiny lights

University of Ottawa team advances to competition's national level

  • By: Staff
  • February 20, 2019 February 20, 2019
  • 15:54

Team from University of Ottawa advances to 2019 CFA Societies Canada Ethics Challenge in Calgary

  • By: Staff
  • February 20, 2019 February 20, 2019
  • 15:15

Former Enron exec speaks from experience

At the National Institute on U.S.-Canadian Securities Litigation in Toronto this week, regulators and litigators discussed industry developments. Best interest standard at a standstill? Panellists expressed concern about the best interest standard’s regulatory uncertainty and unintended consequences for advisors and firms’ business models. For example, the OSC needs to clarify the difference between a best […]

IIROC, the self-regulatory body for securities dealers, reviewed its Rule 42 last year dealing with conflicts of interest, uncovering some problems related to disclosures and compensation. IIROC surveyed firms in June 2016 to assess the effectiveness of the new conflict of interest rule. Ian Russell, head of IIAC, the industry advocacy group for IIROC members, […]

  • By: Staff
  • June 30, 2017 August 21, 2018
  • 09:03

Mennonite Savings and Credit Union has become the first Canadian financial institution to make sure all its GICs qualify as socially responsible investments (SRI).

  • By: Staff
  • January 8, 2016 August 21, 2018
  • 08:01

What to watch for with this emerging trend