News and resources for Canada's top financial advisors
Est. 1998
Industry
Famed firm cites trial involving Manulife's insurance contracts
By Staff, with files from The Canadian Press |October 4, 2018
1 min read
Claim contains allegations of misrepresentation
By Staff, with files from The Canadian Press |November 28, 2017
The Investment Industry Regulatory Organization of Canada will review the reporting of short-selling activity after hearing concerns about small-cap issuers. IIROC published the plans in a summary of comments received at a roundtable discussion of market structure issues affecting small-cap names. The regulatory body said it will review the requirements and frequency of reporting of […]
By Staff |October 20, 2016
Beware of risks to companies and investors.
By Wendy Berman and Lara Jackson |September 9, 2016
4 min read
The Securities and Exchange Commission has announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations.
By Staff |January 14, 2016
3 min read
Market Insights
It’s been a rough year for commodities in general, and crude in particular. What will the new year hold?
By Dean DiSpalatro |December 16, 2015
"I'm not a trader; I just play one on TV." And yet...
By Staff |November 27, 2015
2 min read
Six firms charged with short selling violations have settled with the SEC.
By Staff |October 14, 2015
The Securities and Exchange Commission has charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits.
By Staff |February 3, 2014
Indian police have summoned Canadian research firm Veritas Investment Research Corp. and its analysts to appear in India on August 27.
By Melissa Shin |August 14, 2012
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