Investors using the unregulated platforms should not expect to receive the same protections applicable to exchanges or dealers
The former chief operating officer for RBC Capital Markets will make a “significant” direct investment in Bristol Gate and its funds
The late 2020 or early 2021 downturn will be “relatively mild”
European equity markets suffered significant price corrections in the first quarter
Former rep sanctioned for unapproved personal financial dealings with clients, and failing to co-operate with an investigation
Peter McCarthy remains on the board after completing his three-year term as chairman
Although the average advisor saw modest improvements in AUM and productivity, the increases among some firms’ advisors were dramatic
Loonie lower against U.S. dollar
U.S. regulator adopts rule to modernize fund disclosure
Legislation protects SRO against malicious lawsuits
The two dealers self-reported weaknesses in their controls which resulted in some clients paying excess fees
The back-office support services firm aims to address the growing demand for fee-based accounts
Firms are realizing synergies from mergers which benefit all stakeholders
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
Plus, GreenShield buys Kii Health's Canadian mental health services segment
The honours will be presented Feb. 12, at the association's Embrace the Challenge event
Start with flexibility, tax efficiency, simplicity
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