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IIROC seeking feedback on arbitration program overhaul

Proposals include increasing the limit on claims and publishing arbitration decisions

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BCSC bans fraudsters, orders $1.5M in sanctions

The panel imposed $1.1 million in penalties and $400,000 in disgorgement over a fuel-cell scheme

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Banking alliance distances itself from UN campaign over emissions targets

Canada's big banks said they're still focused on net-zero commitments

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NBF’s Nicole Miller to receive WCM leadership award

Women in Capital Markets' annual awards take place in Toronto on Wednesday

  • By: Staff
  • December 5, 2022 December 5, 2022
  • 14:05
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New SRO should oversee Quebec’s fund dealers: IIAC

Trade group calls on provincial finance minister to review fund dealer oversight

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Fed tackles banks’ climate-related risks

Agency issues proposed principles for large banks to address climate risks

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Financial stability risks rise for China: Moody’s

Troubled property sector poses growing threat to banks

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Securities sector faces a mixed 2023: Fitch

Weakness in investment banking to be offset by strong trading activity

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ASIC sanctions Vanguard for alleged greenwashing

Underlying index failed to screen out tobacco sellers, regulator charged

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Outlook for global banks stable in 2023: Moody’s

Margin expansion, strong balance sheets to offset rising loan losses

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ISS to demand diverse directors in 2024

Proxy advisory firm adopts voting policy changes for upcoming season

FP Canada announces latest QAFP exam results

The exam was written by 69 candidates

  • By: Staff
  • December 1, 2022 December 1, 2022
  • 15:20
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Banks outline downturn prep while still talking growth

Strategies were discussed during earnings calls

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BMO reports Q4 profit, raises dividend

The bank's bottom line was boosted by Bank of the West acquisition

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TD reports earnings up as it sees growth in margins and loans

The bank is putting more bankers, advisors on the street, CFO says

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Industry moves this week

Appointments follow the launch of a new division at Raymond James Ltd. and a retirement announcement from CSI

  • By: Katie Keir
  • December 1, 2022 December 1, 2022
  • 12:39
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CIBC reports Q4 profit down from year ago

Expenses, margins and provisions weighed on earnings

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Ontario appoints Kevan Cowan as new OSC chair

Cowan replaces Heather Zordel, who resigned last month

  • By: Staff
  • November 30, 2022 November 30, 2022
  • 17:10
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National Bank reports Q4 profit down from year ago, raises quarterly dividend

Wealth management profit was up by 24% on higher interest rates

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The post-pandemic investor protection challenge

IOSCO report recommends practices for investor protection and education during a crisis

  • By: Staff
  • November 30, 2022 November 30, 2022
  • 12:17
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RBC reports $3.9B Q4 profit as it prepares for a more turbulent year ahead

Wealth management profits increased despite lower fee-based revenues

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Desjardins to acquire Worldsource wealth and insurance businesses from Guardian Capital

Desjardins said it plans to operate the three companies as standalone entities

  • By: Staff
  • November 30, 2022 November 30, 2022
  • 10:59
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MX disciplines HSBC over electronic access

Firm sanctioned over unapproved access to exchange's systems

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Fund managers heed the added risk of ESG: Fitch

Focus on greenwashing has heightened regulatory risk for ESG funds, managers

  • By: Staff
  • November 29, 2022 November 29, 2022
  • 17:22
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BoC incurs first loss in its history

The central bank lost $522 million in the third quarter