Trailer-fee class action launched
Lawsuit's goal is to have discount brokerages return trailing commissions to investors
Latest news in Industry News
Mandate change for Counsel Global Small Cap Fund
The U.S. and international mandates will be combined into one global ex-Canada mandate
- By: Staff
- January 17, 2020 January 17, 2020
- 15:10
SEC charges Portus founder
SEC alleges Boaz Manor concealed his identity from investors in US$30-million fruadulent ICO offering
- By: James Langton
- January 17, 2020 January 17, 2020
- 13:20
Empire Life makes changes to group solutions leadership
Three executives take on new duties
- By: Maddie Johnson
- January 17, 2020 January 17, 2020
- 10:40
MFDA panel fines, bans rep
Allegations include improper personal financial dealings and misleading investigators
- By: James Langton
- January 16, 2020 January 16, 2020
- 17:00
HELOC borrowing drops in November
Home equity lines of credit haven't rebounded with the housing market, a Scotiabank report says
- By: Staff
- January 16, 2020 January 16, 2020
- 13:56
New CSA guidance tackles crypto trading
The regulator has clarified when crypto trading is subject to securities law
- By: James Langton
- January 16, 2020 January 16, 2020
- 12:47
The unexpected realities of retirement
Things don’t always turn out as planned, according to a national survey
- By: Maddie Johnson
- January 16, 2020 January 16, 2020
- 12:32
New initiative aims to future-proof the U.S. dollar
The Digital Dollar Project will explore tokenizing the U.S. currency
- By: James Langton
- January 16, 2020 January 16, 2020
- 11:41
IOSCO makes UTC recommendation official
The global group of securities regulators is calling on firms to synchronize their watches
- By: James Langton
- January 16, 2020 January 16, 2020
- 10:57
New acquisition boosts Harbourfront’s private wealth business
Harbourfront Wealth Management has struck a deal to acquire Vertex One’s private wealth division
- By: Greg Dalgetty
- January 15, 2020 January 15, 2020
- 16:19
Agora launches platform for serving small accounts
The new platform offers a range of model portfolios for clients with average account sizes
- By: Maddie Johnson
- January 15, 2020 January 15, 2020
- 15:10
IIROC fines advisor $60K for due diligence failures
The advisor's client was mentally incapacitated, and her son made unauthorized trades in her account
- By: Staff
- January 15, 2020 January 15, 2020
- 14:46
The coal sector could be in for a rough ride
Moody’s predicts increasing demand for sustainable investments will make it hard for coal companies to access capital
- January 15, 2020 January 15, 2020
- 14:21
Report predicts a surge in dividend payouts in 2020
The banking sector is expected to be the leading source of dividends
- By: James Langton
- January 15, 2020 January 15, 2020
- 13:05
Canadian VC investment had a record year in 2019
Despite a slight dip in Q4, VC investment hit a record US$4.6 billion
- By: James Langton
- January 15, 2020 January 15, 2020
- 12:10
Survey finds investors expect their advisors to know about RI
Most respondents to an RBC poll said they would turn to their advisor to learn about responsible investing
- By: Maddie Johnson
- January 15, 2020 January 15, 2020
- 11:49
New ESG data service coming from ICE
The data will include metrics on GHG emissions and board diversity
- By: James Langton
- January 14, 2020 January 14, 2020
- 14:48
TSX to launch new pot index next week
The S&P/TSX Cannabis Index will track companies listed on the TSX and TSXV
- By: James Langton
- January 14, 2020 January 15, 2020
- 14:22
How much time does your client spend worrying about money?
A poll from Scotiabank found that older Canadians worry less than millennials
- By: Maddie Johnson
- January 14, 2020 January 14, 2020
- 12:43
Toronto man faces charges for breaching OSC ban
A 2015 order banned him from serving as a corporate director or officer for five years
- By: James Langton
- January 14, 2020 January 14, 2020
- 12:13
InvestorCom service helps firms meet product suitability rules
ShelfMonitor was created with client-focused reforms in mind
- By: Staff
- January 14, 2020 January 14, 2020
- 12:02
BlackRock makes climate change a top priority
The asset manager will start asking companies to disclose climate-related risks
- By: The Associated Press
- January 14, 2020 January 14, 2020
- 10:32
IIROC issues revised guidance to reflect new plain-language rules
The SRO is working on standardizing, reorganizing and updating its guidance
- By: James Langton
- January 13, 2020 January 13, 2020
- 17:10
With big data comes big responsibilities: report
The European Banking Authority says that tech-driven innovations in the banking sector must be ethical and accountable
- By: James Langton
- January 13, 2020 January 13, 2020
- 15:39