Industry

FINRA pulls BrokerCheck rule

FINRA has withdrawn its proposed rule with the SEC that would have required advisors using social media to post a link to BrokerCheck on social media sites.

By Staff |April 24, 2013

1 min read

Canadian businesses must think globally

Emerging economies will continue to grow two to three times faster than industrialized economies for the next five years. But Canadian businesses have yet to fully exploit new economic opportunities spawned by the changing landscape.

By Vikram Barhat |April 24, 2013

2 min read

Reps fined for dubious trading activities

Following a penalty hearing held on November 27, 2012, a hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC), imposed fines on Marco Myatovic and Doreen Lowe. The panel found that the two had failed in their roles as gatekeepers by facilitating manipulative or suspicious trading activity in several client accounts, thereby engaging […]

By Staff |April 24, 2013

1 min read

CWB invests in McLean & Partners

Canadian Western Bank (CWB) has signed an agreement to acquire 55% ownership of McLean & Partners Wealth Management Ltd. (McLean & Partners), a Calgary-based firm specializing in wealth management for high net worth individuals. Read: Sun Life and Khazanah acquire CIMB Aviva The transaction, which is subject to regulatory approvals, supports a key strategic objective […]

By Staff |April 24, 2013

1 min read