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Seedlings, close up

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
Hong Kong's skyscrapers

Underwriters in Hong Kong hit with hefty fines

Regulators cite investment firms for lax due diligence

Financial graph on technology abstract background

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
Abstract,Golden Bitcoin money on computer.

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
calculating numbers for income tax return with glasses pen and calculator

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
Financial graphs analysis

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
Thief

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
A closeup of the lock of a brick jail cell with iron bars and a key in the locking mechanism with the door open

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
cheque with pen for business concept

CIBC’s Dodig made $10 million in 2018

CIBC is last Big Six bank to release its proxy circular

Macro shot of a hand of a businessman signing or writing a document on a sheet of white paper using a nibbed fountain pen.

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
Senior woman websurfing on digital tablet

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
Emotional Stress, Bankruptcy, Finance

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
Financial graphs analysis

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
photo of hands holding pen under document and pressing calculator buttons

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
Business young people in the job interview, signed an employment contract with boss in the office

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
Gavel

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
Lawyer

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
Lawyer

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
Candle stick graph chart of stock market investment trading

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
MEN and WOMEN check boxes with red check mark in the MEN box. The concept of gender discrimination in promotion.

Study suggests ways to reduce gender bias

Advisors should offer all clients a standardized first meeting, Morningstar says

Toronto skyline in financial district

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
Financial graph on technology abstract background

National Bank CEO’s bonus cut in 2018

His salary and other compensation were above target and remained the same as 2017

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
Toronto skyline in financial district

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
A miniature woman standing in a pile of low coins and a miniature man standing in a pile of tall coins.

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