Monthly Archives: July 2017

Advocacy Wins on Behalf of our Members (IIAC Blog)

Advocacy Wins on Behalf of our Members (IIAC Blog)

The Investment Industry Association of Canada (IIAC) is committed to constructive engagement with securities regulators and governments to fight for cost-effective rules, fight against rules that interfere with business activity and market efficiency, and to promote incentives for capital formation and growth. Our efforts are paying off.

Here are some of our 2017 victories on your behalf.

 

 

 

 

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Congratulations to Randy Ambrosie, new CFL Commissioner (IIAC Blog)

Congratulations to Randy Ambrosie, new CFL Commissioner (IIAC Blog)

The Investment Industry Association of Canada (IIAC) congratulates Randy Ambrosie on his appointment as Commissioner of the Canadian Football League.

Mr. Ambrosie has given much to the investment industry and capital markets, having worked at CIBC Wood Gundy, Merrill Lynch Canada, Midland Walwyn, HSBC Canada Securities and HSBC Brokerage USA, AGF Funds Inc., and at MacDougall, MacDougall and MacTier (3Macs) as the company’s President and Chief Executive Office where he saw the successful sale and integration of the firm into Raymond James Ltd.

The IIAC is grateful for his dedication, commitment and support to our Association. Mr. Ambrosie … Continue reading

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IIROC Rule 42 Compensation-Related Conflicts Review (IIAC Blog)

IIROC Rule 42 Compensation-Related Conflicts Review (IIAC Blog)

The traditional advisory and brokerage business is replete with extensive conflicts of interest, notably the conflicts between buyers and sellers, from proprietary dealings though dealers in over-the-counter debt securities, new securities offerings, and the fees and charges to clients for services. These inherent conflicts have been the driving force behind the reforms for greater transparency in client dealings and for a higher standard of obligations for advisors. Continue reading

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Happy Canada 150. Bonne Fête Du Canada

Happy Canada 150. Bonne Fête Du Canada

 

 

 

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