News and resources for Canada's top financial advisors
Est. 1998
Industry
The firm agreed to pay US$35 million to settle privacy violation allegations
By James Langton |September 20, 2022
2 min read
Conflicts involving SPACs needed more transparency, regulator alleged
By James Langton |September 6, 2022
1 min read
Morningstar and As You Sow said the category could make ESG fund comparisons more difficult for investors
By Mark Burgess |August 17, 2022
The scheme even included a reference to "Blue Horseshoe," the code for inside information in the 1987 movie Wall Street
By James Langton |August 16, 2022
Accused allegedly used breached accounts to pump microcap stocks
Regulators propose expanding post-crisis reporting requirements
By Staff |August 10, 2022
U.S. trade groups asked courts to restore rule changes favoured by public companies
By James Langton |July 28, 2022
Market Insights
The EPA ruling raises the stakes for climate proposals, the rating agency said
By Staff |July 18, 2022
Products
Regulators see added risks in new leveraged, inverse single-stock ETFs
By James Langton |July 12, 2022
Firm, reps charged for selling risky illiquid bonds to retail investors, retirees
By James Langton |June 16, 2022
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