Industry

Sun Life app serves clients better

Sun Life Financial advisors have a new tool to help their clients make the best investment decisions possible.

By John Powell |July 12, 2011

1 min read

KYC failure costs advisor $27,000

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement, with sanctions, between IIROC staff and Mary Louise Kasten-Brown. In the settlement agreement, Kasten-Brown admits she failed her know-your-client and suitability obligations when she processed the opening of accounts and facilitated private share purchases for eight clients, without […]

By Staff |July 11, 2011

1 min read

TMX launches its alternative platform

Poll: Are you excited about the introduction of TMX select? Vote here. TMX Group Inc. today officially launched trading on TMX Select, its alternative equities trading system. Canada’s newest ATS offers participants additional execution and liquidity seeking opportunities through a differentiated marketplace and pricing model. Eight trading symbols were enabled for trading on TMX Select […]

By Staff |July 11, 2011

1 min read

BMO Harris adopts web-based platform

BMO Harris Private Banking (BMO Harris), one of Canada’s largest wealth managers, has implemented the web access tools of Charles River Development, a front- and middle-office investment software provider. Adopting the Charles River platform will help the firm focus on issues facing advisors, says Richard Mason, head of investment management, BMO Harris Private Banking. “Canada’s […]

By Staff |July 11, 2011

2 min read