The growing costs and efforts associated with compliance are taking a toll on smaller dealers and independent advisors, the associations states in a submission to Finance Canada
Brian Connell-Tombs taps into more than 20 years of experience with Canada’s regulatory agencies and industry oversight groups
The model disclosure is designed to help investors better understand and compare brokers’ account and service fees
The investment industry's bottom line is undeniably strong, thanks to the retail business
Revenue from retail, fee-based accounts is particularly strong
The industry is facing intensifying competition, longer-term performance pressures and regulatory developments
The SRO recorded a surplus of $6.6 million in fiscal 2017, according to the latest annual report
All the leading Canadian fixed-income dealers have upped their game over the past 12 months
Richardson GMP plans a big overhaul to its revenue model
Peter Lee says CIBC's combined services for HNW clients are a "cross-pollination" that appeals to this affluent group