Securities

Industry

Regulation by product is a problem: CSA roundtable

Participants were concerned about regulatory arbitrage and limiting advice access for lower-income folks.

By Staff |June 18, 2013

3 min read

Industry

Do clients have worthless stock?

When a client dies, any property he owned is automatically deemed sold at fair market value, which could lead to capital gains or losses. But what if that property includes stock certificates from companies that no longer exist?

June 10, 2013

1 min read

Industry

SEC suspends trading of 61 empty shell companies

The Securities and Exchange Commission has made the second-largest trading suspension in agency history.

By Staff |June 4, 2013

2 min read

Industry

How to evaluate technology companies: AUDIO

Helping clients select stocks is challenging, especially when looking at risky sectors.

April 12, 2013

1 min read

Economic Indicators

U.S. and Canadian financial industries aren’t correlated

The Canadian and U.S. securities industries seem alike, but this is a major misconception.

April 11, 2013

3 min read

Industry

Mary Jo White sworn in as SEC chair

Mary Jo White was sworn in this morning as the 31st Chair of the SEC.

By Staff |April 10, 2013

2 min read

Industry

MFDA for stronger supervisory structure

The Mutual Fund Dealers Association of Canada (MFDA) has advised fund dealers to take more stringent supervisory measures to determine suitability of investments as they relate to seniors, sale of exempt securities, and use of leverage. Read: MFDA revises rep’s terms of settlement In a bulletin detailing its regulatory priorities, the SRO recommends dealers “assess […]

By Staff |April 3, 2013

1 min read

Industry

Soft data drag Wall St down

Slowing U.S. manufacturing activity pulled back the stock market from last week’s record levels. The S&P 500’s decline reflects investor concern over the slowing pace of growth of the sector, reports FT.com. Profit takers who booked their gains are now looking for sectors in which to deploy their capital. Also read: U.S. posts modest growth […]

By Staff |April 2, 2013

1 min read

Industry