Products

Rule change to funnel complaints through OBSI Fallback Image Decorative pattern

Industry

Rule change to funnel complaints through OBSI

Take your disputes to the Ombudsman. That’s the simple take on CSA’s proposed amendments to National Instrument 31-103 that would require more securities market participants to put dispute resolutions through the Ombudsman for Banking Services and Investments. IIROC and MFDA rules already require participation in OBSI for resolution of client disputes. The change (which doesn’t […]

By Staff |November 15, 2012

2 min read

Whoops! Beware DIY account transfer costs Fallback Image Decorative pattern

Planning and Advice

Whoops! Beware DIY account transfer costs

An advisor gained a client with a small online brokerage account. As a friendly gesture, that advisor agreed to cover the costs of bringing over the assets. This situation is probably fairly familiar to any advisor who has migrated a frustrated DIY investor into their book. In this case, there were the remnants of dot-com […]

By Steven Lamb |November 15, 2012

2 min read

How to navigate the ETF landscape Fallback Image Decorative pattern

Products

How to navigate the ETF landscape

The number of funds has increased fourfold in the last few years

November 14, 2012

5 min read

The price isn’t always right Fallback Image Decorative pattern

Products

The price isn’t always right

Mutual fund investors expect to beat an index, or at least not to lose money. Many have been disappointed on both counts over the past decade. Still, a country’s economic prospects should feed into its stock prices. Some companies will be high-flyers; others disappointments. But taken together, their performance will average out and reflect growth […]

By Scot Blythe |November 14, 2012

9 min read