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investmentexecutive.com > news
Former fund industry executive banned
1+ day ago —...been permanently banned by Ontario’s Capital Markets Tribunal.... ...Singh formerly led a large mutual fund dealer, Fortune Financial... ...industry executive, citing his conviction by the Ontario Court of... ...sanctions were imposed in response to an action brought by the Ontario Securities...
investmentexecutive.com > news
SEC charges firms in pre-IPO scheme
3+ day ago —...firms — Prior 2 IPO Inc., Late Stage Asset Management LLC, Pre IPO... ...Marketing Inc., and JL Rivera Enterprises Ltd.... ..., was charged with securities fraud conspiracy, wire fraud conspiracy... ...Separately, one of the SEC defendants, Raymond John Pirrello, Jr....
investmentexecutive.com > news > people
Industry moves this week
2+ day ago —...of the board for the new Ontario Infrastructure Bank.... ...financial industry. - Brian Porter, who was president and CEO with... ...- Pierre Cherki will be executive managing director, real estate... ...18 years. - Daniel Bach and Ian Tam have joined the Ontario Securities...
investmentexecutive.com > news > industry-news
New penalty remains as GAAR legislation tabled
2+ day, 7+ min ago —...bill that passed first reading in the House of Commons on Nov. 30... ...’s latest refinement of its general anti-avoidance rule (GAAR) revamp... ..., a partner with Borden Ladner Gervais LLP in Toronto.... ...According to Toronto tax lawyer Pooja Mihailovich, a partner with...
investmentexecutive.com
Diversification is key to hedging inflation
5+ day ago —...well diversified have little to fear from inflation, says Marcus Belander... ...says Warren Buffett may have gotten it wrong when he wrote in the... ...This article is part of the Soundbites program, sponsored by Canada Life... ...Belander said there's a reason people tend to focus on the impact...
investmentexecutive.com > news
Chinese leaders wrap up annual economic planning meeting with scant details on revving up growth
2+ day, 12+ min ago —...The official Xinhua News Agency said leader Xi Jinping chaired the... ...Earlier this week, Moody’s Investor Service downgraded China’s sovereign... ...The ruling Communist Party’s capacity to steer the economy through...
investmentexecutive.com
Your role in financial literacy
4+ day, 10+ min ago —...November was Financial Literacy Month and many organizations published... ...Your role in financial literacy Ideas for advisors and firms to address... ...Let's acknowledge clients" general level of financial literacy in... ...learn financial literacy!...
investmentexecutive.com > news
Risks elevated, but bank capital buffers unchanged
2+ day ago —...of Financial Institutions (OSFI) is keeping the capital buffer requirements... ...Risks elevated, but bank capital buffers unchanged OSFI says that... ...Commenting on the decision, Peter Routledge, OSFI’s superintendent... ...At the same time, Routledge said that OSFI believes that the current...
investmentexecutive.com > news
Bridging faces $40M bill from receiver, counsel
1+ day ago —...Superior Court of Justice will be asked to approve more than $40... ...Bridging Finance Inc.... ...The OSC has alleged that witness, Rishi Gautam, former CEO of cannabis... ...Securities Commission (OSC) in April 2021, amid concerns about suspected...
investmentexecutive.com > insight > columns
Planning for cash flow after death
1+ day ago —...She wanted recourse and complained about the executor fee.... ...However, 16 months later, the executor advised my prospective client...