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Business adviser analyzing financial figures denoting the progress in the work of the company

IIROC focuses on enhanced testing, compensation-related conflicts

The self-regulatory organization released its compliance priorities report Tuesday

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
Gavel

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
Businessman checking reported profits on the paper and laptop.

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
photo of hands holding pen under document and pressing calculator buttons

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
Jigsaw Puzzle on Blue background

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
Toronto skyline in financial district

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
photo of hands holding pen under document and pressing calculator buttons

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
Finger art of people during quarrel

Investor anger about DSCs palpable in comment letters

In submissions to the CSA, investors are critical of regulators and advisors

Obsolete gray grunge concrete room, prison cell with metal bars.

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
stack of documents or files, overload of paperwork on black background

TMX asks OSC for extension on trading fee study

The exchange wants more time to submit a comprehensive response

Business people sitting and discussing at business meeting, in office

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
A closeup of the lock of a brick jail cell with iron bars and a key in the locking mechanism with the door open

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
Lawyer

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
Bitcoin, Litecoin and Ethereum

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
Business People Handshake Greeting Deal Concept

RBC, BlackRock to offer ETFs under one brand

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

Water drop making a ripple on the surface

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
Concept of finding solution with many white arrows showing different directions

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
EU flags waving in front of European Parliament building. Brussels, Belgium

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
Gavel

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
Messy vintage accountant's desktop with adding machine and paper rolls, he is working with the calculator

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