Recent federal government regulations will allow banks and other financial institutions to do more business with customers online and electronically transmit documents currently mailed at hefty postage, printing, disposal and environmental costs.
The debate has been settled
On May 13, 2010, the Alberta Securities Commission imposed sanctions against Hav-Loc Private Wealth Partners Inc. and its President and CEO, Thierry Gevaert, for making misleading and untrue statements in the company’s marketing material regarding its due-diligence activities, thereby breaching securities laws. The message? Due diligence misrepresentations will have serious consequences. Securities legislation includes provisions […]
For many exempt market dealers (EMDs), especially those never registered before, there are a host of unfamiliar obligations that must be met, many of which are straightforward and administrative in nature (in many cases, third-party service providers offer cost-effective means of addressing many of these tasks). Other tasks and obligations, such as suitability assessment and […]
For many exempt market dealers (EMDs), especially those never registered before, there are a host of unfamiliar obligations that must be met, many of which are straightforward and administrative in nature (in many cases, third-party service providers offer cost-effective means of addressing many of these tasks). Other tasks and obligations, such as suitability assessment and […]
(April 2008) Many financial advisors have chosen, consciously or not, to avoid or abandon sales and other activities that require them to be registered under securities laws. At the same time, though, many have not been monitoring proposed changes to securities legislation that will have a broad impact on marketing, sales activities and revenues for […]