Industry

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Emerging markets expert leaves Excel

In the second major development in emerging markets money management in less than two months, veteran money manager Gavin Graham has left his contractual arrangement as Global Strategist with Toronto-based Excel Funds Management.

By Al Emid |March 3, 2011

2 min read

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Advising laid off clients

My financial planning practice is a diverse one. Since 1995, more than 80% of my business has involved working with clients who have been laid off or have retired early. To give you an idea of the magnitude of my work, I stopped counting after my 20,000th client.

By Diane Dekanic |March 1, 2011

7 min read

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MFDA issues reasons for Jones decision

A hearing panel of the Central Regional Council of the MFDA has issued its Reasons for Decision in connection with the disciplinary hearing held in Toronto, Ontario on January 21, 2011 in the matter of Christopher Philip Jones. A copy of the hearing panel’s Reasons for Decision is available on the MFDA website at www.mfda.ca.

By Staff |March 1, 2011

1 min read

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MFDA settles with Connor Financial, Joel Connor

A settlement hearing in the matter of Connor Financial Corporation (“CFC”) and Joel Gerrett (Gerry) Connor (“Connor”) (collectively the “Respondents”) was held on February 25, 2011 in Vancouver, British Columbia before a hearing panel of the MFDA’s Pacific Regional Council. The hearing panel accepted the settlement agreement between the Respondents and MFDA staff, as a […]

By Staff |March 1, 2011

4 min read

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IIROC settles with Gary John Williamson

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Gary John Williamson. In this agreement, Mr. Williamson entered orders to purchase securities with the intention of establishing an artificial bid price, thereby improving the performance of an inventory account for which […]

By Staff |March 1, 2011

1 min read

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Claymore launches new income ETF

Claymore Investments has announced the launch of the Claymore Short Duration High Income ETF. The goal of the ETF is to maximize total returns, consisting of both tax efficient monthly distributions and capital appreciation, and to preserve capital. “We continue to believe that good income products are critical for Canadian investors,” said Som Seif, president […]

By Staff |March 1, 2011

1 min read

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Desjardins research to be available in Europe

Desjardins Securities has signed a deal with ESN North America which will deliver the research on Canadian companies across Europe. “ESN North America is a natural partner for Desjardins Securities and Desjardins Group as a whole,” says Richard Nadeau, vice-chairman and managing director of capital markets with Desjardins Securities. “They provide access to over 1,200 […]

By Staff |March 1, 2011

1 min read

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Nat. Bank offers Quebec stock index

National Bank Financial Group is launching a new stock index comprised exclusively of Quebec-based companies. “This index meets the need expressed my many investors, individuals or industry professionals alike, looking for an economical and efficient way to track the performance of Quebec-based companies,” said Jean-Philippe Cousineau, managing director, shares and co-director, institutional stocks, National Bank […]

By Staff |March 1, 2011

1 min read

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IIROC seeks comment on UMIR amendments

The Investment Industry Regulatory Organization of Canada (IIROC) has published for comment proposed amendments to the Universal Market Integrity Rules concerning the regulation of short sales and failed trades. The proposed amendments would repeal the restrictions on the price at which a short sale may be made on Canadian equity marketplaces. IIROC has also released […]

By Staff |February 28, 2011

2 min read

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Canadians raiding their RRSPs: BMO

After months of being lectured on their debt accumulation habits, Canadians have apparently taken up another bad habit, in part to combat the first: raiding their retirement plans. According to a survey conducted by Leger Marketing for BMO Financial, roughly 40% of Canadians with an RRSP admit they have made withdrawals from their plan before […]

By Steven Lamb |February 28, 2011

2 min read

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