Industry News

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Briefly:

(July 8, 2005) The Canadian Securities Administrators has published a new rule intended to harmonize and consolidate prospectus and registration exemptions across Canada. The change will result in more efficient access to capital markets, the regulator says. Provided all necessary approvals are obtained, National Instrument 45-106 Prospectus and Registration Exemptions (NI 45-106) will come into […]

By Staff |July 4, 2005

8 min read

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Scotia economists warn of instability

(July 4, 2005) The global economy is facing increased risks that threaten continued growth, ranging from the high cost of oil to the disparate attitudes toward savings in Asia and the U.S., according to a report from Scotiabank. For the past few years, the global economy has been growing rapidly, largely fuelled by China’s buildup […]

By Steven Lamb |July 4, 2005

2 min read

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Survey finds support for hedge regulation after Portus

(July 4, 2005) Despite the high profile nature of Portus’ demise earlier this year, there was still a significant gap among advisors in understanding the allegations against the hedge fund firm, according to an online survey conducted by the Advisor Group. Only 59% of respondents said they were familiar with the allegations against the company, […]

By Steven Lamb |July 4, 2005

2 min read

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OSC approves fundcos settlement pay-outs

(July 4, 2005) The Ontario Securities Commission (OSC) has approved the plans of the five mutual fund companies to distribute payments to unitholders affected by in-and-out trading. The five companies, which settled with the commission in December 2004 and March 2005, were alleged to have turned a blind eye to abusive trading practices. Plans have […]

By Steven Lamb |July 4, 2005

3 min read

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Financial planning before the big day

(June 30, 2005) Before saying “I do,” soon-to-be wedded couples should also consider their financial planning options, experts say. While routine consultations with a wedding planner may provide spark leading up to the occasion, couples shouldn’t downplay the more integral role an advisor can bring over the long run. According to Bradley Roulston, a CFP […]

By Heidi Staseson |June 30, 2005

3 min read

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Consultant offers tips for servicing wealthy clients

No matter how badly they want to grow their high net worth client base, many advisors are simply not equipped to properly serve millionaire clients, says one expert in the field. Many have no clue how to effectively communicate in ways that are appealing to wealthy clients and chronic tunnel vision leads many to consider […]

By Kate McCaffery |June 30, 2005

3 min read

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SRI: Learning from the U.K. experience

Untitled Document (June 29, 2005) Canadians looking to advance socially responsible investing at the retail level are taking a closer look at work being done in other countries, particularly Britain, considered to be at the forefront of the movement. “They are more bullish on SRI than their North American counterparts,” says Emma Hunt, who has […]

By Doug Watt |June 29, 2005

3 min read

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Help your client make someone else’s dream come true

As governments continue to make funding cuts, more and more people want to bequest part of their estate to their favourite charity. Whether it’s protecting our environment, feeding hungry children or fighting heart disease, all are worthy causes. If you have clients who want to leave their money to charity, why not help increase the […]

By Staff |June 29, 2005

1 min read

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Under the 49th: U.S. regulatory update

Order Protection Rules that require trading centers establish, maintain and enforce procedures to prevent execution of trades at inferior prices to those appearing on other markets. To warrant protection, quotations must be immediately and automatically accessible. Access Rules to require fair and nondiscriminatory access to quotations, limit access fees to harmonize pricing across trading centres, […]

By Philip Porado |June 29, 2005

3 min read

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Markets due for a correction, analyst says

(June 29, 2005) Every four years the market bottoms out, creating a major buying opportunity. That opportunity is coming soon if you believe Ralph Acampora, director of technical analysis at Prudential Securities. He says buy and hold doesn’t work in today’s markets, and investors trying to index will likely end up right back where they […]

By Kate McCaffery |June 29, 2005

3 min read

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