News and resources for Canada's top financial advisors
Est. 1998
Industry
Sometimes it’s hard to tell what tarnishes the financial services industry more: the occasional criminal act by a broker, or the soft touch of regulators. A case from the U.S. illustrates this dual-responsibility.
By Staff |January 25, 2012
1 min read
Merrill Lynch was handed a victory by a U.S. arbitration panel after expert witnesses testified the portfolio in question was diversified.
By Staff |January 18, 2012
An arbitration panel convened by U.S. self regulator FINRA opted to strike from the record a complaint against a UBS trader who was alleged to have ignored client instructions, resulting in economic loss.
By Staff |January 17, 2012
Strong support from distributors and carriers is helping the eData initiative make giant strides towards its realization. The eData initiative is a cooperative effort between CLIEDIS member carriers, distributors and system and software providers to develop a process for e-transactions and straight-through processing, starting with new business. Scott Sinclair, COO, Transamerica and co-chair of the […]
By Vikram Barhat |June 22, 2010
3 min read
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