Industry News

IIROC fines branch manager $35,000 for inadequate supervision

On May 28, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and John Winston Lang.

By Staff |June 10, 2013

1 min read

Do clients have worthless stock?

When a client dies, any property he owned is automatically deemed sold at fair market value, which could lead to capital gains or losses. But what if that property includes stock certificates from companies that no longer exist?

June 10, 2013

1 min read

Phased retirement: A choice or necessity?

Retirement has been redefined in the past few years for your aging clients; most commonly, people are continuing to work into their retirement years. But, is doing so a necessity or choice?

By April Scott-Clarke |June 10, 2013

3 min read

Asian currencies drop

Slow trade numbers for China last month caused emerging Asian currencies to fall.

June 10, 2013

1 min read