Advisor

Are firms responsible for advisor misconduct? Fallback Image Decorative pattern

Industry

Are firms responsible for advisor misconduct?

When advisors are fined by regulators but can’t pay, their firms aren’t responsible for picking up the tab. Philip Anisman, a Toronto-based securities lawyer, confirms this. “If an advisor violates securities laws and is sanctioned by the Commission, his employing firm should not be indemnifying him. That diminishes the sanction.” Also, firms aren’t typically responsible […]

By Katie Keir |April 8, 2016

3 min read

How to create a $100 back office Fallback Image Decorative pattern

Planning and Advice

How to create a $100 back office

A look at back-office administrative services

April 8, 2016

5 min read

Tax and legal considerations when selling your book Fallback Image Decorative pattern

Tax News

Tax and legal considerations when selling your book

Part 1 in a series on selling your book: how and why to prepare

By Doug Carroll |April 8, 2016

5 min read

Research shows banning commissions is not the answer Fallback Image Decorative pattern

Industry

Research shows banning commissions is not the answer

A more effective solution to potential conflicts of interest is to enhance the proficiency and professionalism of advisors, finds new research.

By Staff |April 5, 2016

2 min read