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IIROC reports flat enforcement numbers for 2018

Fines against advisors went up last year, while disgorgement ordered decreased

  • January 18, 2019 January 18, 2019
  • 16:35

U.S. investors chose passive over active in 2018

Moody’s says passive funds represent superior technology for retail investors

  • January 17, 2019 January 17, 2019
  • 12:39

Dividend payouts to reach global records: report

IHS Markit Ltd. says dividend payouts will reach US$1.81 trillion in 2019

  • January 17, 2019 January 17, 2019
  • 10:26

TMX asks OSC for extension on trading fee study

The exchange wants more time to submit a comprehensive response

  • January 10, 2019 January 10, 2019
  • 14:43

RBC, BlackRock to offer ETFs under one brand

RBC iShares will feature 150 ETFs with a combined $60 billion in AUM

  • January 8, 2019 January 10, 2019
  • 17:03

When the market turns, what happens to ETFs?

Risks that materialize during stressed markets could become systemic, new IIAC report finds

  • January 7, 2019 January 7, 2019
  • 10:59

IIROC guidance outlines roles for PMs, dealers in service arrangements

The PM and dealer have different roles and regulatory obligations

  • December 21, 2018 December 21, 2018
  • 09:05

Quebec tribunal overturns IIROC decision against rep

The SRO's proceedings constituted "an abuse of process," the tribunal says

  • December 20, 2018 December 20, 2018
  • 10:16

CSA pitches pilot on trading fees, rebates

The pilot would run in parallel with a U.S. Securities and Exchange Commission study

  • December 18, 2018 December 18, 2018
  • 13:46

Mackenzie faces proposed class action related to trailer commissions

The lawsuit seeks $175 million in damages on behalf of fund investors

  • December 13, 2018 December 13, 2018
  • 11:22