News and resources for Canada's top financial advisors
Est. 1998
James is a senior reporter for Advisor.ca and its sister publication, Investment Executive. He has been reporting on regulation, securities law, industry news and more since 1994.
Regulation
SRO panel found the rep opened banking products, including a line of credit, in the client's name
By James Langton |January 30, 2024
1 min read
Industry
Fourth case certified involving funds paying trailers to discount brokers
Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions
The panel found a rep's misconduct to be serious, but not fraudulent or deceitful
Study participants preferred to rely on the knowledge of professionals rather than learn about investing
OSFI says financial firms need to pick up the pace on climate impacts
By James Langton |January 29, 2024
Former rep admitted to misappropriation
After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders
By James Langton |January 26, 2024
Firms were allowed to collect trailers before the CSA ban, court rules
Regulator calls for continuity plans at one-man shops
SRO consults on options for resolving long-standing regulatory disparity
By James Langton |January 25, 2024
Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged
Market Insights
Global issuance for 2024 is estimated at US$950 billion
Revisions aim to enhance corporate transparency to investors, policymakers
Economic Indicators
Growth in average weekly earnings rose in the month
Ailing sector poses a headwind to earnings, threat to credit quality
By James Langton |January 24, 2024
Geopolitical turmoil supports commodity prices, finds Fitch
New rules beef up disclosure, investor protections around shell company financings
Regular payouts to maintain 4% growth, while variable dividends drop
Commodity producers to hold up better than interest-sensitive regions
By James Langton |January 23, 2024
Planning and Advice
November 28, 2023|4 min read
December 15, 2023|2 min read
October 25, 2023|3 min read
December 20, 2023|3 min read
October 23, 2023|3 min read
Tax & Estate
January 17, 2024|4 min read
October 26, 2023|4 min read
November 15, 2023|6 min read
August 30, 2023|5 min read
Investments
December 15, 2023|3 min read
September 15, 2023|3 min read
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