IIROC fines Raymond James
The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
- By: James Langton
- November 20, 2018 November 13, 2019
- 09:00
The dealers’s approach to supervisory reviews effectively excluded fee-based accounts with large, uninvested cash holdings
The projections for mutual fund returns in the next several years are modest at best
U.S. markets tumble as technology sector weakens
The revised principles were adopted in 2010
Reforms are achieving their goals of promoting central clearing
The cumulative TFSA contribution limit in 2019 will be $63,500
Daniel will replace Rick McCombie, who announced his retirement earlier this year
Approximately 12% of widely held TSX-listed companies do not have either a formal gender diversity policy or at least one female director
The company is adding a currency management strategy to Franklin High Income Fund
Oil posts sixth straight week of falling prices
Maximum annual listing fee rises to $125,000
Royal Bank is Canada’s only bank on the list of G-SIBs
Board consults on financial resources to support CCP resolution
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