News and resources for Canada's top financial advisors
Est. 1998
Industry
Why it doesn’t impress
By Al and Mark Rosen |November 25, 2016
4 min read
Are you prepared to participate in the OSC’s new program?
November 4, 2016
7 min read
The SEC investigated a record-breaking 160 cases against advisors in the past year.
By Staff |October 12, 2016
9 min read
Casino-gaming company International Game Technology (IGT) has agreed to pay a half-million dollar penalty for firing an employee with several years of positive performance reviews because blew the whistle. The employee reported to senior management and the SEC that the company’s financial statements might be distorted. In its second whistleblower retaliation case since the Dodd-Frank […]
By Staff |September 30, 2016
2 min read
Protection is twofold, with provisions for confidentiality and anti-retaliation.
July 15, 2016
01 CSA publishes more research on mutual fund fees On October 22, CSA published new, independent research on how commissions affect mutual fund sales. The research follows a CSA literature review published in June. The research finds that positive past performance drives mutual fund flows; however, past performance affects flows differently, depending on fee structure: […]
December 11, 2015
6 min read
The program would be the first of its kind for securities regulators in Canada.
By Staff |October 28, 2015
1 min read
Protecting harmed investors involves more than covering financial losses.
October 27, 2015
3 min read
Compliance roundup
By Staff |March 20, 2015
The National Whistleblower Center is calling on government’s around the world to enact whistleblower laws
By Staff |December 9, 2014
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