News and resources for Canada's top financial advisors
Industry
Yes, regulators really do give credit to firms that cooperate with compliance inquiries and then make bona fide efforts to clean up operations. But you won’t read about it in the papers because those cooperation agreements generally preclude the regulator from providing details about what took place. On the flipside, Jeffrey Kehoe, director of enforcement […]
By Philip Porado |November 23, 2005
2 min read
The board of Clarington has responded to criticism from CI Financial, saying that if CI wants its takeover bid to be considered, it should submit a binding offer. “CI has reiterated that any offer would be made by way of a take-over bid circular,” the Clarington board said in a statement issued this morning. So […]
By Steven Lamb |November 23, 2005
3 min read
Facing a non-confidence motion that could bring down the federal government as soon as next week, the finance minister has announced major changes to the taxation of income trusts. In order to level the playing field between corporations and income trusts, Ralph Goodale is reducing personal income taxes on dividends. “Given the uncertainty surrounding how […]
By Mark Brown |November 23, 2005
The third quarter may have been slow, but debt financings on a year-to-date basis are set to make 2005 a record year, according to a report from the IDA. “As 2005 draws to a close, it looks like another phenomenal year in the debt market,” the report says. “However, momentum will likely slow in the […]
By Steven Lamb |November 22, 2005
In the first six months of 2005 there was a “marked deterioration” in the average estimated solvency ratio of federal pension plans, according to the Office of the Superintendent of Financial Institutions (OSFI). Canada’s primary regulator of financial institutions estimates the aggregate solvency deficit of all federal pension plans grew to $12 billion from $8 […]
By Mark Brown |November 22, 2005
(November 25, 2005) Clarington’s refusal to consider a takeover proposal by CI Financial flies in the face of Clarington’s own definition of what constitutes a “competing transaction,” according to the spurned suitor. Clarington has declined to consider the bid, saying it was a non-binding proposal and has endorsed a similar takeover bid from Industrial Alliance […]
By Staff |November 21, 2005
13 min read
(November 21, 2005) A Toronto broker who was involved in a locked-in RRSP scam has been banned by the IDA for five years and must pay a $100,000 fine if he chooses to rejoin the industry. In a separate decision, a Vancouver broker was fined $30,000 and suspended for one year in a case involving […]
By Doug Watt |November 21, 2005
Most advisors know it is important to have a strong relationship with their clients. But a recent white paper published by Dow Jones Newswires says it’s even more critical than most advisors realize, especially in the high net worth sector. According to the paper, loyal clients are much, much more inclined to give additional assets […]
By Mark Brown |November 21, 2005
The 12 Canadian provinces and territories who have signed on to the passport model have released a progress report on their continuing efforts to harmonize the country’s securities regulations. The model became effective on September 19, 2005, giving participants access to markets in multiple jurisdictions simply by dealing with the rules of their principle, or […]
By Doug Watt |November 18, 2005
The fight for control of Clarington is heating up, with CI Financial’s president and CEO calling the dismissal of his company’s bid “ridiculous.” “It wasn’t until we received a copy on Wednesday of the support agreement between Clarington and Industrial Alliance that we were able to discover the conditions under which they would consider another […]
By Steven Lamb |November 18, 2005
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