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Why supporting clients with digital literacy is needed when changing technology platforms

Helping clients who have lower levels of digital literacy will only become more important as the industry moves away from paper forms and becomes more reliant on technology ....

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Sterling Mutuals adds ETFs to product shelf

Katie Keir
After working hard for a few years on a new back-office module, Sterling Mutuals Inc. is expanding its product shelf to include ETFs.
Despite the pressures of the pandemic and not having an IIROC-licensed business arm through which it could process trades more easily a boon that helped the few mutual fund dealers who were first to enter the ETF space Sterling wanted to help its advisors compete.
“I think [this] helps to put the advisors on more even footing with IIROC guys,” said Nelson Cheng, CEO of Sterling Mutuals, during an interview with
Advisor’s Edge. The firm got final approval for its ETF module from the MFDA in mid-April, followed by a limited pilot phase. ....

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Sterling Mutuals adds ETFs to product shelf | Investment Executive

Katie Keir
After working hard for a few years on a new back-office module, Sterling Mutuals Inc. is expanding its product shelf to include ETFs.
Despite the pressures of the pandemic and not having an IIROC-licensed business arm through which it could process trades more easily a boon that helped the few mutual fund dealers who were first to enter the ETF space Sterling wanted to help its advisors compete.
“I think [this] helps to put the advisors on more even footing with IIROC guys,” said Nelson Cheng, CEO of Sterling Mutuals, during an interview with
Investment Executive. The firm got final approval for its ETF module from the MFDA in mid-April, followed by a limited pilot phase. ....

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IIROC bans former advisor for off-book investments | Investment Executive

IE Staff
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has banned, and ordered disgorgement from, a former advisor who arranged the off-book purchase of high-risk syndicated mortgage investments, the self-regulatory organization said in a release on Wednesday. In a January decision, the Mutual Fund Dealers Association (MFDA) banned the advisor for similar misconduct.
Dean Martin Jenkins was a registered representative with the St. Catharines, Ont. branch of Edward Jones at the time of the infraction, according to the IIROC penalty decision, dated March 24.
Between November 2013 and Feb. 12, 2016, Jenkins facilitated $980,000 of off-book syndicated mortgage investments for 11 clients and seven other investors without his firm’s knowledge, the decision said. ....

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