Industry News

IIROC fines Cornacchia, Northern Securities

A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has imposed penalties against Rocco Tony Cornacchia and, Northern Securities Inc., after finding that both had violated IIROC rules in the following manner: As penalties, the panel ordered that: Specifically, the panel determined the parties committed the following violations: IIROC began the investigation […]

By Staff |June 2, 2011

2 min read

Selling your book? Get the right price

“You should not use a multiple to do valuation."

By Melissa Shin |June 2, 2011

10 min read

Waiving survivor benefits

Almost all pensions provide for joint and survivor benefits. This means when a pensioner dies, his or her spouse can continue to receive benefits.

By Daniel Dochylo |June 1, 2011

5 min read

Distributors fear regulatory changes

A regulatory sea change is on the horizon, but don’t expect it to bring consistency coast to coast, Joseph Groia argued at Advisor Group’s annual Distributors’ Summit.

By Dean DiSpalatro |June 1, 2011

3 min read