New York's DFS calls on firms to submit transition plans
Have you paid attention to what’s been happening in the industry this year? You’re about to find out
The GDP report says October had the biggest month-to-month decline in retail trade since March 2016
Familiar investment schemes are joined by new scams on regulators' watchlist
Three-quarters of issuers currently disclose ESG information to the public
FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients
The transaction is part of CI’s plan to grow its presence in the U.S. RIA market
The change affects Invesco's fixed income team
The regulator says a company issued false press releases touting plans to enter the cannabis business
The offences involved unregistered dealing and illegal distribution
The whistleblower reported misconduct to another agency and was still rewarded
Investor protection and industry innovation highlight the SRO's compliance priorities
Precious metals action calms, while Dow Jones tops 50K
Report calls for action on data gaps, surveillance, leverage
Trade deficit remains unchanged amid shifting tariff policy, Fitch reports
Trust account used in fraud, misappropriation, Law Society finds
Policy failed to cover hedge fund investment that turned out to be a fraud
Firm allegedly touted stocks on social media, while selling its holdings
The honours will be presented Feb. 12, at the association's Embrace the Challenge event
Start with flexibility, tax efficiency, simplicity
Brokers, MGAs, software providers and TPAs set to evolve
Plus, moves at Our Family Office, Harvest ETFs, Manulife Wealth, Canada Life and more
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, National Bank changes diversified equity fund
Net monthly ETF inflows reach $22B in January: report
Plus, other firms launch new products, tweak their fund lineups