New rules to benefit ESG-focused asset managers
Moody's estimates the new EU requirements will add between 0.25% and 2.0% to firms’ costs
- By: Staff
- March 14, 2019 March 14, 2019
- 16:22
Latest news in Industry News
Underwriters in Hong Kong hit with hefty fines
Regulators cite investment firms for lax due diligence
- By: Advisor Staff
- March 14, 2019 March 14, 2019
- 16:05
Proposed rules to prevent benchmark manipulation
The CSA cites misconduct involving benchmarks in other markets
- By: Staff
- March 14, 2019 March 14, 2019
- 15:23
CSA and IIROC seek feedback on cryptoasset proposal
The framework is tailored to the unique characteristics of the crypto market
- By: Staff
- March 14, 2019 March 14, 2019
- 13:31
Proposed new rules from FCA would make it easier for consumers to switch firms
The U.K. regulator is looking at banning or capping exit fees
- By: Staff
- March 14, 2019 March 14, 2019
- 12:04
Sun Life announces proposed changes to fund
The new fund would invest primarily in a diversified portfolio of global fixed income securities
- By: Staff
- March 14, 2019 March 14, 2019
- 10:35
American firm settles with SEC over alleged failure to monitor rep
The SEC says the rep was involved in a pump-and-dump scheme from 2008 to 2014
- By: Staff
- March 14, 2019 March 14, 2019
- 09:18
Former fugitive sentenced to jail after violating BCSC ban
The man pleaded guilty to unregistered trading and other charges
- By: Staff
- March 13, 2019 March 13, 2019
- 13:31
CIBC’s Dodig made $10 million in 2018
CIBC is last Big Six bank to release its proxy circular
- By: Melissa Shin
- March 13, 2019 March 13, 2019
- 13:17
Brookfield reaches agreement to acquire 62% of Oaktree Capital
The two companies together will have approximately $475 billion of assets under management
- By: Staff
- March 13, 2019 March 13, 2019
- 12:19
Majority of Canadians prefer online banking: CBA survey
Nearly nine in 10 Canadians used online banking in the past year
- By: Staff
- March 13, 2019 March 13, 2019
- 10:57
Survey finds 20% of Canadians will need to liquidate assets to pay off debt
Two-thirds of Canadians anticipate taking on more debt in 2019
- By: Staff
- March 13, 2019 March 13, 2019
- 10:20
Regulators looking at how internalization impacts equity markets
The CSA and IIROC are seeking comments on their joint paper by May 13
- By: Staff
- March 12, 2019 March 12, 2019
- 13:03
Australian regulator slams banks for slow reviews of possible misconduct
ASIC hopes for new enforcement powers to speed up remediation efforts
- By: Staff
- March 12, 2019 March 12, 2019
- 12:06
Firms settle with SEC over undisclosed mutual fund trailer fees
Almost 80 firms admitted to violating securities rules
- By: Staff
- March 11, 2019 March 11, 2019
- 17:23
Lawyer agrees to settlement with ASC over alleged securities violation
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
- By: Staff
- March 11, 2019 March 11, 2019
- 15:30
B.C. regulator permanently bans three people over pump-and-dump scheme
The BCSC also handed out $17.4 million in fines and sanctioned a Swiss firm
- By: Staff
- March 11, 2019 March 11, 2019
- 14:32
Bitcoin-based CFD firm sanctioned by U.S. court
Regulator orders almost US$1 million in sanctions, disgorgement and restitution
- By: Staff
- March 11, 2019 March 11, 2019
- 12:29
Alt mutual fund launched by Franklin Templeton
The fund seeks to replicate the returns of high-conviction hedge funds
- By: Staff
- March 11, 2019 March 11, 2019
- 11:39
Study suggests ways to reduce gender bias
Advisors should offer all clients a standardized first meeting, Morningstar says
- By: Advisor Staff
- March 8, 2019 March 8, 2019
- 15:51
White made $10.1 million in first year as BMO head
The bank reported net income of $5.4 billion in 2018, up 2% from the previous year
- By: Staff
- March 8, 2019 March 8, 2019
- 15:21
National Bank CEO’s bonus cut in 2018
His salary and other compensation were above target and remained the same as 2017
- By: Melissa Shin
- March 8, 2019 March 8, 2019
- 11:22
Vote for gender diversity, RI professionals urge institutional investors
A group is encouraging investors to make a signed commitment
- By: Staff
- March 8, 2019 March 8, 2019
- 10:56
CIBC names new chief executive for U.S. business
Larry D. Richman will become chair on April 1 when Michael Capatides takes over as CEO
- By: Staff
- March 8, 2019 March 8, 2019
- 10:20
What’s driving the gender pay gap
Men outnumber women by a ratio of seven to one among the top 0.1% of earners
- By: Staff
- March 7, 2019 March 7, 2019
- 12:42