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Top Stories in News

Business People Meeting Discussion in a boardroom concept

OSC to consider settlement with 1832

Regulator alleges investment fund manager violated mutual fund sales practices rule

Gavel and legal books
From the Regulators

MFDA bans P.E.I. advisor

Mutual fund advisor misappropriated $37,000 received from two clients to purchase investments for their TFSAs

meeting room interior with table, raw of chairs and block-notes,decorated in black and white tones
Industry News

FPSC reports increase in public complaints

More than half of the cases heard by FPSC’s disciplinary hearing panel in 2017 resulted in a suspension

cybersecurity of network of connected devices and personal data security, concept on virtual interface with consultant in background
Industry News

Ottawa’s new privacy rules give businesses flexibility on data breach reporting

New regulations for the Personal Information Protection and Electronic Documents Act take effect Nov. 1

Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens
Products

Mutual fund advisors get access to platform-traded funds

NEO Connect and Univeris partner to expand platform to mutual fund dealers

Stock market two boxing gloves with arrows with bull and bear
Research and Markets

TSX, Wall Street markets close lower

Stocks battered by sliding commodity prices and disappointing earnings

Contnuing education concept: pixelated words continuing education on digital background, 3d render
Industry News

Enhanced advisor expertise key to investor satisfaction

Investors rated three characteristics of advisor education programs as particularly important

Products

Franklin Templeton plans changes to Franklin Bissett dividend income funds

The portfolio managers propose to make the strategy pure equity

  • By: IE Staff
  • April 19, 2018 April 19, 2018
  • 16:15
Industry News

Financial firms earn perfect score for LGBT diversity

Index identifies companies listed on the S&P/TSX composite index that promote diversity and inclusion

coin stacks with letter dice - fees
From the Regulators

MFDA seeks input on expanding cost reporting

The self-regulatory organization hopes to spark a discussion on mutual fund cost reporting

stock market pricing abstract
Research and Markets

Registration opens for Biggest Winner trading competition

The competition allows investors to virtually trade ETFs in a number of different asset classes and investment strategies

  • April 19, 2018 April 19, 2018
  • 14:30
Office buildings in Toronto’s financial district
Research and Markets

DBRS raises rating trend for four banks

The change follows the release of new bail-in regime regulations by the federal government

From the Regulators

CSA seeks feedback on proposed derivatives registration rule

Registration regime aims to protect investors, reduce risk and improve transparency in the OTC derivatives markets

Longevity beginning to change investor behavior

More high-net worth investors expect they will live to 100

Slideshow: Regulators’ ratings in the past decade

While some of the regulators have seen their ratings remain stable, others have had wild swings in theirs

WCM honours 16 corporate leaders

Champions selected for advancing progress in gender diversity

Rory Ronan joins 1832 Asset Management

Ronan will work closely with Don Simpson on several Dynamic and Scotia mutual funds

FINRA names Janney Montgomery Scott CEO to board of directors

Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year

ASC introduces two new commission members

Steven Cohen, Raymond Crossley appointed for three-year terms

  • By: IE Staff
  • April 9, 2018 April 9, 2018
  • 17:15

Global private equity fund invests in small- and mid-market firms

Unigestion regards the small- and mid-market sector as a key growth area for private equity

New Fidelity product focused on founder-led companies

The equity strategy aims to harness the successes of entrepreneurs

Scotiabank to launch ETFs business

With the introduction of four ETFs, the bank would become the latest among the Big Five to enter this rapidly growing space

SEC proposes best interest rule

The U.S. regulator has also proposed introducing a mandatory new disclosure document that sets out the terms of advisory relationships

Feds publish regulations for large banks’ bail-in regime

OSFI issues final TLAC guideline for Canada’s banks

Ontario man gets jail time for investment fraud

Senior citizen duped into paying $90,000 for worthless shares

TSX makes strong gains on BoC outlook

U.S. markets up slightly

Bank of Canada holds key interest rate steady as economic growth moderates

The central bank is expecting the economy to rebound in the second quarter with 2.5% growth

Advisors bearish in Q2

Bullish sentiment has declined in almost all asset classes