Leverage

Rep fined $500,000 over leveraged investments Fallback Image Decorative pattern

Industry

Rep fined $500,000 over leveraged investments

On December 22, 2011, the MFDA issued a notice of hearing commencing a disciplinary proceeding against Thomas G. Arseneau

By Staff |December 13, 2012

3 min read

Regulators rein in advisors on leverage Fallback Image Decorative pattern

Industry

Regulators rein in advisors on leverage

The regulatory world is continually shifting, leaving advisors struggling to keep up.

November 15, 2012

3 min read

4 things to consider when borrowing to invest Fallback Image Decorative pattern

Industry

4 things to consider when borrowing to invest

These expert tips will help you temper uncertainty when borrowing to invest

By Camilla Cornell |October 26, 2012

2 min read

Leveraging is risky for clients: IIROC Fallback Image Decorative pattern

Industry

Leveraging is risky for clients: IIROC

Inappropriate leveraging strategies are increasingly being recommended to clients, says IIROC’s Business Conduct Compliance examination unit. The group has come across several situations where clients were not provided with enough information about the risks of borrowing to invest. They were also not made aware of the debt servicing obligations they would have to meet after […]

By Staff |July 5, 2012

1 min read