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Inside Internal Controls

News and discussion on implementing risk management

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investment decisions

NASAA targets ‘cross-selling’ sales tactic in investment and banking sectors

The North American Securities Administrators Association (NASAA) is an association of securities administrators from Canada, the United States of America and Mexico, whose mandate is to protect the investing public. The NASAA recently released an Investor Advisory focused on the practice of “cross-selling” investment products

 

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Online advisors: Stand-alone investment managers or tools for portfolio managers?

Online advisors are digital wealth managers. They use information that an investor provides, usually through an online questionnaire, in order to create an investment recommendation.

 

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To each their own: Provincial rules which apply specifically to charities

Those running a charity could be forgiven for thinking that there are no provincial rules which apply specifically to charities. In fact, this is not the case and we have written several times about such laws as the fundraising rules in Alberta or the registration of a charity in Quebec. However, there are other rules which may affect charities and which may have particular relevance when crossing borders. One such set of rules is contained within the Trustee Acts of various provinces. Generally speaking, the Trustee Acts will apply when a charity holds funds regardless of whether it is incorporated.

 

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