IIROC focuses on enhanced testing, compensation-related conflicts
The self-regulatory organization released its compliance priorities report Tuesday
Latest news in Industry News
BMO Financial Group creates BMO Private Wealth Canada and Asia
Private banking and full-service brokerage unite
- By: Staff
- January 15, 2019 January 15, 2019
- 15:16
Alleged hacker and traders charged in U.S. insider trading scheme
Plot netted US$4.1 million
- By: Staff
- January 15, 2019 January 15, 2019
- 14:58
TD Asset Management adds to D-series lineup
The firm added 18 funds on Tuesday
- By: Staff
- January 15, 2019 January 15, 2019
- 12:11
MD Financial launches index portfolios
The four portfolios offer a lower-cost option, the firm says
- By: Staff
- January 15, 2019 January 15, 2019
- 12:08
OSC task force aims to reduce regulatory burden
Regulator is looking for ways to ease compliance costs
- By: Staff
- January 14, 2019 January 14, 2019
- 15:34
RBC, BlackRock partnership will benefit both parties, Moody’s says
How the strategic alliance will boost the firms
- By: Staff
- January 14, 2019 January 14, 2019
- 15:14
Having a pension could boost returns on other investments
StatsCan analyzes the relationship between pension coverage and investment performance in TFSAs
- By: Staff
- January 14, 2019 January 14, 2019
- 15:06
New bail-in rules for banks will affect their credit ratings’ support component
Planned reduction in Canadian banks’ sovereign supports isn’t expected to change banks’ underlying credit ratings
- By: Staff
- January 14, 2019 January 14, 2019
- 14:41
Manulife to merge equity funds
The firm is also proposing a change to the investment objective
- By: Staff
- January 14, 2019 January 14, 2019
- 13:23
Investor anger about DSCs palpable in comment letters
In submissions to the CSA, investors are critical of regulators and advisors
- By: Michelle Schriver
- January 11, 2019 January 11, 2019
- 15:30
Recidivist sent to jail for violating trading ban
The 2013 OSC ban was for quasi-criminal offences related to securities trading
- By: Staff
- January 11, 2019 January 11, 2019
- 10:14
TMX asks OSC for extension on trading fee study
The exchange wants more time to submit a comprehensive response
- By: James Langton
- January 10, 2019 January 10, 2019
- 14:43
New partnership-based firm launches in Vancouver
Foundation Wealth Partners uses a platform that allows advisors to launch their own independent business
- By: Staff
- January 10, 2019 January 10, 2019
- 14:02
Former registrant gets jail time after failing to pay fines
The BCSC had ordered her to pay a $40,000 fine and to disgorge $155,000
- By: Staff
- January 10, 2019 January 10, 2019
- 12:10
Court denies firms’ bid to dismiss lawsuits alleging mismanagement
Trapeze Capital Corp. and Trapeze Asset Management Ltd. sought to dismiss civil lawsuits from former clients
- By: Staff
- January 9, 2019 January 9, 2019
- 14:24
European regulators say cryptoassets pose investor threat
Many cryptoassets fall through regulatory gaps
- By: Staff
- January 9, 2019 January 9, 2019
- 12:24
Equitable Life launches online tool for seg funds
Most of the firm's insurance applications are now received electronically
- By: Staff
- January 9, 2019 January 9, 2019
- 11:25
RBC, BlackRock to offer ETFs under one brand
RBC iShares will feature 150 ETFs with a combined $60 billion in AUM
- By: James Langton
- January 8, 2019 January 10, 2019
- 17:03
Nasdaq introduces index putting price on water
The index will allow for tradable financial instruments geared to water
- By: Staff
- January 8, 2019 January 8, 2019
- 13:23
One thing clients require from advisors
Find out if you're effective at providing what clients need
- By: Staff
- January 8, 2019 January 8, 2019
- 12:45
New scores to show ESG impact on credit ratings
Fitch introduces the ESG Relevance Scores
- By: Staff
- January 8, 2019 January 8, 2019
- 12:45
Report offers best practices for fintech sandboxes, innovation hubs
European regulators compared initiatives across the region
- By: Staff
- January 8, 2019 January 8, 2019
- 12:34
IIROC fines firm $100K for double charging in fee-based accounts
Worldsource Securities failed to adopt controls to prevent the double charging
- By: Staff
- January 8, 2019 January 8, 2019
- 11:15
Small biz owners get runaround from Service Canada: study
A "secret-shopper" exercise found that callers received inaccurate information
- By: Staff
- January 8, 2019 January 8, 2019
- 11:04