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Trending

Feb
07
2017
Rob Carrick writes about how securities regulators must be cautious in how they regulate so that the robo-advisor and on-line investing models are not stifled. He is of the view that the investment industry needs to improve its approach to assessing the risk profile of investors and that guidance to investors on discount brokerages should […]
Feb
06
2017
The U.S. based Investor Stewardship Group has issued a framework consisting of corporate governance and stewardship principles. The Group – which includes BlackRock Inc., the Vanguard Group, T.Rowe Price Group Ince, RBC’s Asset Management division and MFS Investment Management – released the principles for institutional investors on January 31, 2017. While the corporate governance principles […]
Jan
17
2017
Dan Hallett of the Globe and Mail writes about how the risk rating section of the ETF and mutual fund facts document is flawed as it doesn’t convey how much investors can lose.
Jan
12
2017
Armina Ligaya reports in the Financial Post on the CSA’s “final consultation” to examine the impact of embedded fees. Ligaya  discussed the consultation with Marian Passmore, FAIR Canada’s Director of Policy and COO.  Passmore said there is an “…abundance of evidence that real harm is being caused to investors and market efficiency [because of embedded […]
Dec
16
2016
Janet McFarland of the Globe and Mail reports on the latest no-contest settlement arising from self-reporting overcharging clients in fee-based accounts and on mutual fund costs. The latest settlement involves the Bank of Montreal who will repay almost $50 M to over 60,000 clients. These cases come to light on the eve of new requirements […]
Nov
18
2016
Edward Waitzer writes Investor Protection – Why I Would Bet on Courts over Regulators
Nov
15
2016
Tom Bradley writes about why CRM2 is necessary.
Nov
08
2016
The Minister of Finance will be introducing legislation to replace the Financial Services Commission of Ontario (FSCO) and the Deposit Insurance Corp. of Ontario (DICO) in order to create a single regulatory agency, the Ontario’s Financial Services Regulatory Authority (FSRA). The announcement comes following a review of FSCO and DICO by an Expert Advisory Panel […]
Nov
08
2016
Christina Pellegrini writes in the Globe and Mail that, according to a recent study, the TSX Alpha Exchange’s “speed bump”, which has been pitched as a way to protect retail investors from high-frequency traders, may in fact do more harm than good. The “speed bump”, it seems, can be by-passed through a specific type of […]
Oct
26
2016
Tim Shufelt reports in the Globe and Mail that fund managers in Canada are not required to disclose how much of their own funds they hold, noting that such requirements have been the norm for more than a decade in the United States. Those who advocate for this type of disclosure say it represents a […]