Industry

Small dealers, adapt or die

Wealth management business is undergoing significant structural changes thanks to protracted slowdown, skittish clients, and concerns over low returns and high volatility.

By Vikram Barhat |September 15, 2011

4 min read

Broker barred for fake emails

A broker at a major U.S. wire house was barred by the Financial Industry Regulatory Authority for sending e-mails regarding mortgage and line of credit applications from a personal Hotmail account.

By Staff |September 15, 2011

1 min read

Get the most for your laid-off clients

When a client’s job security is on shaky ground, an advisor has to be prepared. This means helping their client get the best possible severance package and making sure they have enough money to safely tread water while searching for a new job.

By Jonathan Linds |September 14, 2011

4 min read

IIROC appoints new chair

Gerry Rocchi, formerly vice-chair of the IIROC board of directors, has been appointed chair at IIROC's general meeting held yesterday. Michelle Khalili, Managing Director, Equity Capital Markets, CIBC World Markets, has been named vice-chair.

By Staff |September 14, 2011

1 min read