FINRA releases 2019 compliance exam priorities
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
- January 22, 2019 November 13, 2019
- 14:45
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
Proposed ATS would let retail clients trade digital assets within their existing brokerage accounts
Portfolio manager named director of private client wealth
Andrew Cribb succeeds Mauro Manzi
Ontario’s new insurance regulator releases draft priorities and budget
Both wholesale and manufacturing sales fell
Two of the mergers are expected to be completed by March 8
Six Harmony pools will be terminated on or about April 8
U.S. markets closed for Martin Luther King Jr. Day
For Canada, the IMF's estimate for growth in 2019 was 1.9%, down from an October forecast for 2% growth
Your clients may be losing sleep
Systemic risks as a whole still remain moderate
A weaker outlook for 2019 will likely lead more firms to leave the business
Economist expects housing activity to take most of the year to recoup first-quarter losses
The safeguards were added because of the tensions over Greenland
Prices remain volatile as the direction of the conflict keeps changing
Concerns about investor harm arise as trailers persist, despite 2012 ban
Court dismisses case, citing importance of timely dispute resolution
Conflict arose from allocation that generated revenue from "no fee" accounts
Changes impact business, personal and legacy products
The two firms will serve clients in Europe, Asia, Bermuda, Canada and the U.S.
The province's finance minister has signalled Ontarians must plan for tougher times
Deputy governor posts to filled via an internal recruitment process
Interim PBO Jason Jacques' term expired at start of March
Plus, Wellington-Altus adds talent, OSFI's Gully headed for Basel Committee and more
It's the second firm in Canada to receive approval to offer futures and forecast contracts
Both also recorded positive net sales in February, SIMA reports
Plus, other launches, fund changes announced