Sales practices, suitability remain concerns for OSC
Referral cases more than doubled from 2018 to 2019
- By: James Langton
- August 8, 2019 November 13, 2019
- 12:40
Referral cases more than doubled from 2018 to 2019
Appointees will serve two-year terms
Bond will invest in green and social assets
Results beat analyst expectations
New business grew by 16.5%
Study finds 42% of pension holders are potentially vulnerable to investment scams
ALDAs could guard against the risk of retirees outliving their savings
Gold hits US$1,500 for the first time in six years
The firm saw revenue from its global wealth management operations grow by 15.2%
Report also notes that demand for ESG investing is growing
The fund industry employs as many people as the country's gas stations, report says
717 candidates across Canada wrote the six-hour exam
DB plans returned 2.7% in the quarter, down from 7.2% in Q1
'Hot print' from Micron Technologies boosted enthusiasm for tech stocks, says portfolio manager
Central bank sees slowdown in wage gains from collective agreements
Rise in benchmark short-term rate to 0.75% is aimed at curbing inflation
Accountant allegedly found assets used to lure investors to schemes
OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation
Execs that previously pleaded guilty in fraud case accept regulatory sanctions
Plus, Raymond James gains Richardson advisor, and promotions at BMO, CI GAM, Wellington-Altus and more
Provincial regulator can halt trading when misinformation circulates
QAFP exam has one more sitting before title protection transition ends
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, moves at BMO Private Wealth, Fiera Capital and CIBC GAM
Mutual fund, ETF AUM rose for the seventh consecutive month
Plus, other product launches and news, including more ESG fund terminations
More than 300 new products landed in 2025 — a new record