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Trailer-fee class action launched

Lawsuit's goal is to have discount brokerages return trailing commissions to investors

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Mandate change for Counsel Global Small Cap Fund

The U.S. and international mandates will be combined into one global ex-Canada mandate

  • By: Staff
  • January 17, 2020 January 17, 2020
  • 15:10
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SEC charges Portus founder

SEC alleges Boaz Manor concealed his identity from investors in US$30-million fruadulent ICO offering

Competitive Edge

Empire Life makes changes to group solutions leadership

Three executives take on new duties


MFDA panel fines, bans rep

Allegations include improper personal financial dealings and misleading investigators

Couple calculating financial savings on internet

HELOC borrowing drops in November

Home equity lines of credit haven't rebounded with the housing market, a Scotiabank report says

  • By: Staff
  • January 16, 2020 January 16, 2020
  • 13:56
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New CSA guidance tackles crypto trading

The regulator has clarified when crypto trading is subject to securities law


The unexpected realities of retirement

Things don’t always turn out as planned, according to a national survey

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New initiative aims to future-proof the U.S. dollar

The Digital Dollar Project will explore tokenizing the U.S. currency

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IOSCO makes UTC recommendation official

The global group of securities regulators is calling on firms to synchronize their watches


New acquisition boosts Harbourfront’s private wealth business

Harbourfront Wealth Management has struck a deal to acquire Vertex One’s private wealth division

Agora launches platform for serving small accounts

The new platform offers a range of model portfolios for clients with average account sizes


IIROC fines advisor $60K for due diligence failures

The advisor's client was mentally incapacitated, and her son made unauthorized trades in her account

  • By: Staff
  • January 15, 2020 January 15, 2020
  • 14:46

The coal sector could be in for a rough ride

Moody’s predicts increasing demand for sustainable investments will make it hard for coal companies to access capital

  • January 15, 2020 January 15, 2020
  • 14:21
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Report predicts a surge in dividend payouts in 2020

The banking sector is expected to be the leading source of dividends

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Canadian VC investment had a record year in 2019

Despite a slight dip in Q4, VC investment hit a record US$4.6 billion

advisor client meeting

Survey finds investors expect their advisors to know about RI

Most respondents to an RBC poll said they would turn to their advisor to learn about responsible investing

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New ESG data service coming from ICE

The data will include metrics on GHG emissions and board diversity

a farmer puts his marijuana plant into soil, related to pot index

TSX to launch new pot index next week

The S&P/TSX Cannabis Index will track companies listed on the TSX and TSXV

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How much time does your client spend worrying about money?

A poll from Scotiabank found that older Canadians worry less than millennials

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Toronto man faces charges for breaching OSC ban

A 2015 order banned him from serving as a corporate director or officer for five years

Businesswoman with schedule diary

InvestorCom service helps firms meet product suitability rules

ShelfMonitor was created with client-focused reforms in mind

  • By: Staff
  • January 14, 2020 January 14, 2020
  • 12:02
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BlackRock makes climate change a top priority

The asset manager will start asking companies to disclose climate-related risks

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IIROC issues revised guidance to reflect new plain-language rules

The SRO is working on standardizing, reorganizing and updating its guidance

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With big data comes big responsibilities: report

The European Banking Authority says that tech-driven innovations in the banking sector must be ethical and accountable