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B.C. court finds investor must testify to BCSC

The individual was worried that his testimony to the regulator could be used by U.S. authorities

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BFI fund audits withdrawn

Receiver reports that funds' former auditor retracted two years of audit reports

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MFDA proposes new alt fund proficiency rule

Proposal would replace the requirements under provincial regulators' existing rules

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BlackNorth Initiative launches playbook to promote racial equity

The new tool was created in partnership with Boston Consulting Group

  • By: Staff
  • November 25, 2021 November 25, 2021
  • 11:48
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BlackRock names former CIBC exec as head of iShares Canada

Industry veteran Pat Chiefalo left the position earlier this year

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Quadrus settles with MFDA over lapses in sales practices

Incentive structure favoured in-house funds over third-party funds, regulator found

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OSC provides funds to Prosper Canada

The national charity will receive a total of $2.7 million over three years

  • By: Staff
  • November 24, 2021 November 24, 2021
  • 16:18
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IIROC elects new board director

Debra Doucette takes the role as Holly A. Benson steps down

  • By: Staff
  • November 24, 2021 November 24, 2021
  • 15:25
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Exchanges, clearing firms to face growing disruption

Clearinghouses could benefit from regulatory reform efforts, Fitch says

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Companies with little to report embracing TCFD rules the most

Banks are so far the biggest followers of climate disclosure standards, Moody's ESG finds

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Mixed outlook for brokers in 2022

Sector faces competitive and regulatory headwinds, even as recovery solidifies, Fitch says

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Laurentian Bank cutting office space in half as part of strategic review

CEO says prioritizing work from home will help attract talent

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Ontario calls for action on shelf space shrinkage at banks

The Ontario government has asked the OSC to review banks' fund lineups, tied selling

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OSC launches first wave of TestLab experiments focused on KYC, KYP

Early focus will be on helping advisors understand products and collect client information

Securities trending up

IIAC flags problem of accurately valuing thinly traded securities

A new paper calls for reforms to valuation practices

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Scotiabank ditches resumes for campus hiring, widening candidate pool

The approach helps businesses uncover talent and removes many false preconceptions recruiters form

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Mutual fund assets surge past $2 trillion again: IFIC

Equities mutual fund sales hold up, while equities ETFs surge in October

  • By: Staff
  • November 22, 2021 November 22, 2021
  • 12:30
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SEC total enforcement activity down slightly in 2021

The U.S. regulator reported a record year for whistleblowers

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Financial firms that shift credit to green players best positioned: Moody’s

Net-zero pledges would limit financing available to carbon-intensive sectors

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How advisors can approach the market in 2022

A PMAC panel offered outlooks for the year ahead

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CFA Society Toronto appoints new board leadership

Brenda King will serve as chairwoman

  • By: Staff
  • November 19, 2021 November 19, 2021
  • 10:56

As hype grows, ESG skepticism rises too

A panel at the PMAC conference examined whether "green growth" is possible

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Corporate debt attracts heavy foreign investment: StatsCan

Big U.S. tech stocks continued to lure domestic investors

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New heights for global M&A activity

Deal value tops US$5 trillion for first time ever, as deal volume sets new marks as well

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New SRO by end of 2022, CSA pledges

Regulators aim to name CEO, board by Q2 next year