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John Taft, CEO of RBC Wealth Management (U.S.), has been named 2011 chair of the Securities Industry and Financial Markets Association (SIFMA), a securities industry trade group representing securities firms, banks and asset management companies in the U.S. Taft’s appointment follows his role as 2010 chair-elect of SIFMA. During his tenure as SIFMA chair, Taft […]
By Staff |November 10, 2010
3 min read
Canadians are coming to grips with the notion that their original retirement plan might not work out as they expected, according to a survey by AXA. The 2010 edition of the Retirement Scope survey found an increasing number of Canadians now believe they will have to work later into life than they had planned. On […]
By Steven Lamb |November 9, 2010
2 min read
Canadian women need to step up and take charge of their finances if they want to feel secure, according to one prominent woman in the financial services industry. Only half of Canadian women are satisfied with their investments, while the remaining 49% are concerned or frequently worried, according to the 10th annual TD Waterhouse Female […]
Nearly two years after it was first made available, the tax free savings account (TFSA) continues to confuse many Canadians, according to a survey conducted for the Bank of Montreal. Only 20% of respondents knew that mutual funds could be held within a TFSA, while just 26% were aware they could hold a GIC in […]
A hearing panel of the MFDA’s Pacific Regional Council has issued its reasons for decision in connection with the disciplinary hearing that took place in Vancouver, British Columbia on October 12, 2010 in the matter of Piotr (Peter) Lipski. Click here for a copy of the Reasons for Decision. – Staff (11/09/10)
By Staff |November 9, 2010
1 min read
Don’t rush out and get that 200-page compliance manual that you’ll never open. It will likely just collect dust, as 80% of it has little to do with the average advisor’s business. That message for mutual fund and life insurance advisors comes from Julie Mansi, a corporate lawyer with Borden Ladner Gervais LLP (BLG). “It […]
By Vikram Barhat |November 8, 2010
Sprott Asset Management has announced the promotion of Eric Nuttall to the role of lead portfolio manager for Sprott Energy Fund. Eric Sprott will continue to be part of the fund’s portfolio management team, supporting Nuttall in the role of advisor. “At Sprott Asset Management, we pride ourselves on hiring and developing the best investment […]
By Staff |November 8, 2010
Have you ever had the feeling something wasn’t quite right but couldn’t pinpoint the reason? My four-year-old son and his friends recently found my electric razor and used it to shave my son’s left eyebrow. My wife and I stared at him on and off for hours before we figured out what was wrong with […]
By Keith Pangretitsch |November 8, 2010
5 min read
I met a broker from Rochester at breakfast on the second day of an ETF conference in Albany, New York. I was a speaker on the first day and a moderator on the second, and was curious about the audience’s knowledge level and how the message was getting through. “Do you use ETFs in your […]
November 8, 2010
4 min read
While they’re clearly too big to ignore, the momentum of emerging markets may be starting to roll over. At least, that’s what Paul Ehrichman, head of Global Equity for Global Currents Investment Management suggested in his keynote address at Legg Mason’s Rethink 2010 Investment Symposium. While BRIC nations such as China and India are being […]
By Nancy Turner |November 5, 2010
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