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Genus Capital Management to pay back $1.67 million to clients in settlement with BCSC

The violation involved using 'soft dollars' to develop in-house software

  • July 19, 2019 July 19, 2019
  • 16:52

Caldwell Investment Management to pay $1.8 million for best execution violations

The OSC found the firm directed client trades through an affiliated dealer when better terms were available elsewhere

  • July 19, 2019 July 19, 2019
  • 15:19

Peak’s mutual fund reps access platform-traded funds

It's the first dealer to offer access to the funds listed on NEO

  • July 11, 2019 July 11, 2019
  • 10:56

Investor advocates criticize IIROC’s proposed enforcement tools

Among other concerns, FAIR Canada notes the offenders would not be publicly identified

  • July 5, 2019 July 5, 2019
  • 15:27

OSC issues priorities for year ahead

Regulator to continue consultation on client-focused reforms, fee structures

  • June 27, 2019 June 27, 2019
  • 11:22

Alberta court denies class action against former rep

Defendant was permanently banned by IIROC in 2018

  • June 26, 2019 June 26, 2019
  • 15:57

Ontario court dismisses proposed class action against Horizons

The lawsuit was filed over a fund that lost 90% of its value overnight

  • June 25, 2019 June 25, 2019
  • 16:59

Mutual funds saw $1 billion in net redemptions last month: IFIC

ETFs generated $2.4 billion in April net sales

  • May 22, 2019 May 22, 2019
  • 17:40

New U.S. ETF will pay investors to buy fund

The Salt Financial LLC fund "furthers the relentless march towards fee compression," a Moody's report says

  • May 21, 2019 May 21, 2019
  • 11:16

Where the U.S.-China trade war really hurts

The biggest cost might be to confidence, a CIBC report says

  • May 16, 2019 May 16, 2019
  • 14:19