IIROC proposes revisions to CE program
Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26
- By: James Langton
- July 11, 2019 November 13, 2019
- 16:10
Proposed changes aimed at simplifying CE regime are out for comment until Aug. 26
Banks reported some improvement in earnings in the first few months of the year, although most other financial services firms reported decreases
Group says responses will be used to help develop best practices
SRO clarifies what firms and individuals can do to earn credit for ‘extraordinary‘ cooperation
Reports from PwC, Manulife and Purpose address the uncertainty
Investment is down slightly in the second quarter, KPMG says
The regulator is seeking feedback on possible revisions to the capital regime
Rahul Sarugaser is the new managing director
It's the first fund dealer to offer its reps direct access to platform-traded funds
Jerome Powell cited low inflation as a justification for potentially lowering interest rates
Contributing factors include slowing economic growth, trade disputes, previous rate hikes and rising labour costs
Applicant argued that an IIROC panel erred in its findings
The dollar traded for an average of US76.38¢ on Wednesday
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