Products

Exempt market course to be updated

The EMDA plans to work with the IFSE Institute to revise the content of the current Exempt Market Products course.

By Staff |November 16, 2012

1 min read

Energy ETFs impacted after Progress deal nixed: ETF Insight

Ottawa's decision to block the acquisition of Progress Energy by Petronas will impact energy ETFs.

By Staff |November 16, 2012

1 min read

Rule change to funnel complaints through OBSI

Take your disputes to the Ombudsman. That’s the simple take on CSA’s proposed amendments to National Instrument 31-103 that would require more securities market participants to put dispute resolutions through the Ombudsman for Banking Services and Investments. IIROC and MFDA rules already require participation in OBSI for resolution of client disputes. The change (which doesn’t […]

By Staff |November 15, 2012

2 min read

Whoops! Beware DIY account transfer costs

An advisor gained a client with a small online brokerage account. As a friendly gesture, that advisor agreed to cover the costs of bringing over the assets. This situation is probably fairly familiar to any advisor who has migrated a frustrated DIY investor into their book. In this case, there were the remnants of dot-com […]

By Steven Lamb |November 15, 2012

2 min read