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MFDA’s new CE regime to launch in the fall

Fund dealers' first CE cycle to kick off on Dec. 1

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PwC denies report of potential Bridging Finance sale

The receiver plans to file materials next week seeking court approval for a sale process

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TD issuing $1.75B in LRCNs

The notes will bear interest of 3.6% annually for the first five years

  • By: Staff
  • July 23, 2021 July 23, 2021
  • 10:39
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CFP exam pass rate was 67% in May

First-time writers outdid their peers, with a pass rate of 73%

  • By: Staff
  • July 22, 2021 July 22, 2021
  • 16:52

FSRA proposes fees for title regulation

The model sets out how costs will be shared among credentialing bodies

Securities and Exchange trending up

Global banks shaking off Covid-19

Pre-existing conditions continue to dog certain "weak tail" banks, however, BIS finds

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Fight over Bridging Finance evidence brewing

The OSC is gearing up to oppose claims of improper disclosure

Mutual fund sales rise in June, outpace ETFs, IFIC says

The year's first half had strong fund sales and asset growth

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Advisor guilty of tax fraud sentenced to three years in jail

The CRA successfully appealed a conditional sentence imposed in 2019

  • By: Staff
  • July 21, 2021 July 21, 2021
  • 14:22
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OSC seeks technical expertise on fund regulation

Senior industry compliance and operations experts are wanted for a regulatory advisory committee

  • By: Staff
  • July 21, 2021 July 21, 2021
  • 12:25
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Great West U.S. subsidiary buying Prudential’s retirement biz

The $4.45-billion transaction is expected to close in the first quarter of 2022


Bank of Canada names new deputy governor

Sharon Kozicki will take on the role on Aug. 2


Hamilton launches multi-sector covered call ETF

The fund offers exposure similar to the S&P/TSX 60 and uses 25% leverage to enhance yield

  • By: Staff
  • July 21, 2021 July 21, 2021
  • 10:58
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Conquest Planning raises $7.5M to accelerate growth

Power Corp. affiliate Portage Ventures is among the startup's investors

  • By: Staff
  • July 21, 2021 July 21, 2021
  • 10:46
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Mark Carney says climate commitments preclude running for Liberals in fall election

The former governor of the Bank of Canada and the Bank of England said he's focused on the UN climate conference

Competitive Edge

Tolerating inflation aids hardest-hit households

Research suggests that temporarily overshooting inflation has economic benefits

Coinsquare shakes up executive team

The crypto-trading platform has tapped industry veteran Martin Piszel as its new CEO

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Finance confirms family business tax changes are law

Officials told MPs that any amendments to Bill C-208 would not be retroactive

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Fidelity announces changes to Far East fund

New PM’s strategy is expected to result in a potentially meaningful capital gains distribution

  • By: Staff
  • July 20, 2021 July 20, 2021
  • 11:50
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SLC Management appoints global head of ESG

Anna Murray will oversee ESG investment strategies for the firm’s institutional clients

  • By: Staff
  • July 20, 2021 July 20, 2021
  • 11:41
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U.K. regulator issues guidance for ESG funds

The FCA said poor product design and disclosure risks undermining investors' trust


SEC settles with UBS over use of volatility-linked product

The US$8.1-million settlement will be distributed to harmed investors

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Accountability board seeks to step up enforcement disclosure

Greater transparency could help investors and improve audit quality

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Robinhood sees valuation of up to US$35 billion as public company

The online brokerage behind this year's meme stock phenomenon will list on the Nasdaq

wall street, new york city

As pandemic fades, Wall Street cools too

Trading revenues plunge from 2020 highs, but investment banking provides some solace