Industry

Decorative pattern

IIROC settles with National Bank Financial

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, which includes sanctions, between IIROC staff and National Bank Financial Inc. In the agreement, NBF admits to violating the Universal Market Integrity Rules (UMIR) by failing to meet its trading supervision obligations and audit trail requirements. National Bank […]

By Staff |January 21, 2011

1 min read

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IIROC settles with Paul Clarke, Todd O’Reilly

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted settlement agreements between IIROC staff and Paul Clarke and Todd O’Reilly. In the agreements, Mr. Clarke and Mr. O’Reilly admit that they failed to transact business openly and fairly, and in accordance with just and equitable principles of trade, contrary to […]

By Staff |January 21, 2011

2 min read

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IIROC settles with Gateway Securities

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement between IIROC staff and Gateway Securities Inc. that results in Gateway’s expulsion from IIROC membership. In the agreement Gateway admits it failed to meet IIROC’s minimum capitalization requirement, contrary to IIROC Rule 17.1. Gateway’s membership had been suspended […]

By Staff |January 21, 2011

1 min read

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Rotman becomes CFA Program Partner

One of Canada’s top business schools, Rotman Commerce, has become a CFA Program Partner, joining the ranks of 128 institutions around the world. “We are extremely pleased to be recognized as one of the CFA Institute’s global educational partners,” says Professor Kenneth Corts, director of Rotman Commerce and associate dean, Undergraduate Education at the Rotman […]

By Staff |January 21, 2011

1 min read

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Brigata raises MER cap, cuts trailer

Brigata Capital Management has adjusted the level of operating expenses of the Brigata Funds that will be absorbed by the firm, shifting up to an additional 10 basis points onto the investor. Commencing with the 2011 financial year, Brigata will cap the MER for each fund at 2.50% for series A (the previous cap had […]

By Staff |January 21, 2011

1 min read

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GMP offers ABCP Fund

GMP Investment Management has launched a new limited partnership fund based on Canada’s restructured asset backed commercial paper, the assets at the heart of the 2007 ABCP crisis. GMPIM has traded over $2 billion (face value) in restructured ABCP through its GMP Diversified Alpha Master Fund since April of 2008, and the new Canadian ABCP […]

By Staff |January 21, 2011

1 min read

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Brace yourself for a volatile 2011

Two of Fidelity’s top investment strategists recently weighed in on the 2011 outlook for the fund company’s annual ‘Straight Talk on the Markets’ webcast. Getting Aggressive Trevor Greetham, asset allocation director for Fidelity International’s Investment Solutions Group, says the first thing to keep in mind is the economic cycle has become quite short, and increasingly […]

By Dean DiSpalatro |January 21, 2011

5 min read

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Accretive Advisor buys Advisor Impact

Merger and acquisition activity in Canada has picked up in 2011, with a deal within the advisor services industry. Accretive 360 Inc., the parent company to Accretive Advisor, bought Advisor Impact Inc. of Toronto, the leading North American research boutique on the investor-advisor relationship. The acquisition marries the unique online matching tools of Accretive Advisor […]

By Vikram Barhat |January 20, 2011

1 min read

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World perplexed at regulatory paralysis

While Canadians bask in the praise of foreign policymakers who laud our prudent financial regulation, we should probably also take note of international criticism, according to the Canadian representative to the International Monetary Fund. The IMF has repeatedly expressed concern over Canada’s apparent refusal to adopt a single national securities regulator, according to Tom Hockin, […]

By Steven Lamb |January 20, 2011

2 min read

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How to rein clients in

What’s the most important thing a financial advisor does for clients? Provide sound investment advice and financial planning that clients can rely on? Maybe. That is, after all, the primary role of the financial advisor.

By Bryan Borzykowski |January 20, 2011

8 min read

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