Industry

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2003 Advisor of the Year Awards: Saluting our honourable mentions

(December 9, 2003) Although only one individual from each of five regions in Canada could be officially crowned Advisor of the Year for 2003, five additional entrants were cited as honourable mentions by our judging panel for the excellence of their case study submissions. Click below to find out more about these five exceptional advisors: […]

By Staff |December 8, 2003

2 min read

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Briefly:

(December 12, 2003) The Ontario Securities Commission (OSC) has received the final report of its Regulatory Burden Task Force (RBTF), which was launched in October 2001. The RBTF reports that the OSC has raised the level of satisfaction among its stakeholders from its 2000 rating of “B to B plus” in 2000 to an “A […]

By Staff |December 8, 2003

6 min read

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Feds tighten charitable gifting rules

(December 8, 2003) The government has introduced legislation aimed at tightening the rules governing tax treatment for charitable donations. “Gifts in kind” have come under increasing scrutiny in the past few weeks, with the Finance Department warning that certain donation plans would be sure to attract the attention of the auditor’s office. Typically, such plans […]

By Steven Lamb |December 8, 2003

2 min read

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Vice fund firm charged in trading scandal

(December 5, 2003) A U.S. company best known for marketing a “socially irresponsible” mutual fund focusing on sin stocks has been caught up in the recent regulatory crackdown on trading abuses. Dallas-based Mutuals.com, its chief executive officer, president and compliance officer have been charged with fraud by the U.S. Securities and Exchange Commission (SEC). The […]

By Doug Watt |December 5, 2003

2 min read

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Even

(December 5, 2003) At the final stop for Advisor Forum in Halifax, the Top Advisor Panel discussion proved that even the best faced a challenging environment. One of the biggest challenges they said they had over the past few years was maintaining not only their clients’ confidence, but also their own. “The biggest challenge for […]

By Steven Lamb |December 5, 2003

4 min read

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USL draft set for pre-Christmas release

(December 4, 2003) The final draft of the uniform securities law (USL) project has landed — likely with a thud — on the desks of the country’s most senior regulators. The draft legislation is on target for publication before Christmas, says Paul Moore, vice-chair of the Ontario Securities Commission (OSC). In the works for a […]

By Doug Watt |December 4, 2003

3 min read

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Ontario regulator offers outline of new fund governance rules

(December 4, 2003) The mutual fund industry faces a new governance regime that the Ontario Securities Commission (OSC) could unveil as early as this month, but there are still questions as to whether the new system will benefit investors. Susan Silma, director of investment funds at the OSC, presented an outline of the new rules […]

By Steven Lamb |December 4, 2003

4 min read

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Regulators patching together some common ground

(December 3, 2003) If you think the fractured regulatory environment makes it hard to follow the patchwork of rules, wait until you see the exemptions. “It is a little bit of a difficult regime right now,” Lynn McGrade, partner at Borden Ladner Gervais, told the Canadian Institute’s 12th annual mutual funds symposium. “It has a […]

By Steven Lamb |December 3, 2003

2 min read

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SROs issue warning on privacy legislation

(December 3, 2003) Advisors under the jurisdiction of a self-regulatory organization (SRO) — such as the IDA or the MFDA — could be subject to disciplinary proceedings if they don’t fulfill their obligations under the federal government’s new privacy legislation. The warning came today in a joint regulatory notice on privacy issued by the IDA, […]

By Doug Watt |December 3, 2003

3 min read

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China: Is it ready for prime-time investment?

(December 2, 2003) Investing in China is fraught with risk, but the country’s spectacular growth and enormous potential make it impossible to ignore, experts say. “China has become an increasingly important player on the world stage and it’s incumbent on us as professionals to think carefully about how China is going to affect the investing […]

By Doug Watt |December 2, 2003

3 min read

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