Industry

OSC, FINRA sign cooperation deal

The Ontario Securities Commission (OSC) has entered into a memorandum of understanding with the Financial Industry Regulatory Authority (FINRA) to facilitate the exchange of information on regulated entities that operate across the U.S.-Canadian border.

By Staff |November 18, 2011

1 min read

PRPPs: New vehicle, same old problems

The newly re-introduced Pooled Retirement Pension Plan (PRPP) may be touted as the cure-all for all Canada's flailing retirement savings system, but a rather unimpressed advice industry regards it as just another tool.

By Vikram Barhat |November 18, 2011

3 min read

Fired broker wins $5.2 million arbitration

One of RBC's American subsidiaries has been ordered to pay a former broker more than $5 million, after dismissing him on "thin" evidence of wrong-doing.

By Staff |November 18, 2011

1 min read

In search of yield

Whether your client is heading into retirement or just wants to supplement their paycheque, the demand for income planning will only rise.

By Staff |November 18, 2011

2 min read