Wealth Advisors Report - Accumulating, Preserving, and Transitioning Wealth

A regulator-led survey of Ontario mutual fund dealers based out of big banks shows a sizable minority are not always acting in the interest of clients.

Brutal discipline aside, three factors determine the success of this value-creation strategy.

The current macroeconomic environment has created uncertainty for businesses, and finance leaders must act decisively to address risks and ensure agility.

The average brokerage advisor grew their book, added clients and earned more in 2024

Investments in technology and business support are needed, but so too is strategic consistency

Clients lost millions on futures trading that generated large commissions

Paper calls for central banks to lead preparations for looming security risk

Market volatility, state of economy causing some independent advisors to delay their succession plans

Robinhood CEO Vlad Tenev says it's not "entirely relevant" that the platform's OpenAI and SpaceX stock tokens aren't technically equity in the companies.

First payments from now-dropped tax were due Monday

As of July 1, regulator can serve investigative summonses electronically

Stronger than expected revenues enables SRO to return US$50 million to brokers

Regulator to adopt rules that set out how workplace misconduct breaches rules

Decline in syndicated lending leads retreat in bankers' fees

More than US$40M raised from investors on false promise of automated trading returns

Firms misled investors about risk of funds' trading strategy, regulators alleged

An active investment approach is warranted, given ongoing headwinds

Confidence in finance careers surpassed all other industries by at least 20%

With only one option for mutual fund proficiency, concerns arise among dealers, education providers