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Issac Jonas

A resource economist adjusts to banking in Canada

EU flags waving in front of European Parliament building. Brussels, Belgium

ESMA reviews rules amid rise of meme stocks, robos and digital disclosure

gavel

The client lost $1.3 million to risky trading that generated $232,000 in commissions

Banks

CWB and Meridian will continue to offer outside products

  • By: Katie Keir
  • September 16, 2021 September 20, 2021
  • 16:35
Finger art of people during quarrel

The advocacy group calls for action to preserve competition and protect investors

Solution

Investor advocates remain concerned that deferred sales charge mutual funds are still being sold up until the June 1 ban

Young business woman suffering stress working at office computer

OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years

Teenagers Young Team Together Cheerful Concept

FINRA seeks input on reaching meme stock traders and other novices

Couple getting financial advice from consultant at home

Conflicts-related reforms come into effect June 30

Advisor meeting with clients

The proposals are out for a 60-day comment period