Former mutual fund rep agrees to conditions to regain registration
Terms and conditions proposed by settlement agreement provide a means to detect or prevent future misconduct
- By: James Langton
- July 19, 2018 November 13, 2019
- 17:25
Terms and conditions proposed by settlement agreement provide a means to detect or prevent future misconduct
U.S. stocks sink
Canadian financial institutions face a dual challenge of serving customers via digital channels and managing risk and compliance
New revisions address complaints from institutional investors and foreign investment dealers
Professional money launders present unique identification challenges
Issuers’ use of non-GAAP financial measures remains an area of focus
The national housing agency is providing more guidance to lenders
U.S. regulator adopts rules to enhance transparency and oversight of alternative trading systems
U.S. markets end mixed
Homeshare insurance will be the first product launched under the duuo brand
The company will rename its existing suite of cash flow series options to provide better transparency and increase the ease of use of the series
One cause for weaker performance expectations may be the concern surrounding the fate of NAFTA
CHX will continue to operate as a registered securities exchange
The S&P/TSX composite index rose 58.63 points to 32,058.73
The central bank issued a summary of its overnight-rate deliberations earlier this month
Americans’ assessments of their current economic situation tumbled: survey
Retail investors targeted by so-called investment groups on social media
The increase is part of an effort to beef up anti-money laundering measures
Accountant allegedly found assets used to lure investors to schemes
The pension fund is investing up to US$1.05 billion
Plus, promotions at Harvest and Ontario Teachers' Pension Plan Board
High-profile firms and their clients were targeted in 2025
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