SRO reform a go after dealer vote
Fund dealers, investment dealers approve merger, with new SRO to launch in 2023
Latest news in Industry News
Federal Reserve plans climate scenario exercise with six U.S. banks
Pilot program in 2023 will test effects of climate risks on banks' businesses
- By: James Langton
- September 29, 2022 September 29, 2022
- 16:29
Don’t wait for clients to ask about planning gaps
Aspirational planners need to take action for clients, Planworth’s James Fraser said at IAFP’s 2022 symposium
- By: Katie Keir
- September 29, 2022 September 29, 2022
- 16:07
SEC sanctions lazy audit effort
Deloitte's Chinese division had clients do some of their own audit work
- By: James Langton
- September 29, 2022 September 29, 2022
- 15:23
CIBC aims to cut emissions intensity from power portfolio by 32% by 2030
The target is a step toward net-zero emissions by 2050
- By: Ian Bickis, Canadian Press
- September 29, 2022 September 29, 2022
- 13:55
Rising costs rein in retirement savings
Canadians' personal finances have worsened, BDO survey suggests
- By: Staff
- September 29, 2022 September 29, 2022
- 13:51
AdvisorFlow enhances its digital platform
The fintech has partnered with Equisoft to accelerate collection of client data
- By: Staff
- September 29, 2022 September 29, 2022
- 11:51
U.S. Treasury moves forward with database on corporate ownership
The measure aims to combat illicit finance
- By: Fatima Hussein, The Associated Press
- September 29, 2022 September 29, 2022
- 10:57
Spain agrees on temporary wealth tax, hikes for big earners
The revenue will finance initiatives to help people with lower incomes, the government said
- By: Ciaran Giles, The Associated Press
- September 29, 2022 September 29, 2022
- 10:40
Certain MGAs pay multiple life agents for a single sale, FSRA says
Draft Ontario MGA regulation coming in 2023 as a result of concerns found in FSRA's review
- By: Greg Meckbach
- September 28, 2022 September 28, 2022
- 17:22
Asset risks take shine off rising rates for banks: Fitch
Canadian banks won't benefit as much as others from higher rates, report says
- By: Staff
- September 27, 2022 September 27, 2022
- 14:55
Industry moves this week
Wellington-Altus adds Todd Ferguson to leadership team
- By: Katie Keir
- September 27, 2022 September 27, 2022
- 12:40
OSC seeks industry reps for advisory group
Registrant Advisory Committee calls for new members
- By: Staff
- September 27, 2022 September 27, 2022
- 12:34
CSA seeks to modernize fund disclosure
Proposals would allow fund managers to post financial statements and management reports on designated websites
- By: James Langton
- September 27, 2022 September 27, 2022
- 12:32
Harbourfront finalizes investment from U.S. private equity firm
The financing will be put toward expansion, the firm said
- By: Staff
- September 27, 2022 September 26, 2022
- 08:00
TMX to close down fund platform
The exchange will shut down TSX NAVEx at the end of this year
- By: James Langton
- September 26, 2022 September 26, 2022
- 17:15
Scotiabank CEO Brian Porter to retire
Scotia board member and Finning CEO Scott Thomson will take over next year
- By: Adena Ali, The Canadian Press
- September 26, 2022 September 26, 2022
- 14:23
ASC imposes large cost for dragging out regulatory hearing
Defence tactics in a crypto case ended in a costs award that far outweighed the sanctions
- By: James Langton
- September 26, 2022 September 26, 2022
- 14:01
Coinsquare agrees to buy crypto trading provider
Simply Digital deal would build one of Canada's largest regulated platforms
- By: Daniel Calabretta
- September 23, 2022 September 23, 2022
- 18:08
Mutual fund, ETF assets drop in August: IFIC
ETF sales stay positive, mutual fund redemptions moderate
- By: James Langton
- September 23, 2022 September 23, 2022
- 17:14
IRS seeks crypto tax cheats
Agency sees widespread tax evasion in crypto space
- By: James Langton
- September 23, 2022 September 23, 2022
- 16:54
IT guy admits to insider trading hack
Insider trading ahead of Motley Fool stock picks netted millions in illegal profits
- By: James Langton
- September 23, 2022 September 23, 2022
- 15:31
OSC to examine audit firms
Inquiry follows exam cheating scandal, other auditor misconduct
- By: Staff
- September 23, 2022 September 23, 2022
- 14:50
Dealers to vote Sept. 29 on fate of new SRO
Breaking down the issues as IIROC and MFDA firms prepare to have their say on the proposed merger
- By: James Langton
- September 23, 2022 September 23, 2022
- 12:55
Industry moves this week
From leadership restructuring to the creation of a new role, it's a busy start to the fall
- By: Katie Keir
- September 22, 2022 September 22, 2022
- 15:12