Enforcement tool enables regulators to resolve cases more quickly
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having…
Brent Zorgdrager and Madison Hopper have been named the recipients of the 2018 Gary Gillam Award
The big winners in the month were U.S. and international equity ETFs while Canadian equity ETFs saw outflows of $391 million
More than US$3 million is being donated to more than 40 youth-focused charities worldwide
David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”
The pace of hiring has yet to be disrupted by dramatic global market swings, a recent pickup in inflation or the risk that the could…
Proposal aims to “foster discussions between regulators, insurers and intermediaries on market conduct”
Edward Gibson succeeds Ron Friesen
U.S. employment numbers coming Friday
GPWealth360 gives financial advisors the ability to connect with their clients anywhere, anytime
New firm focused on family offices and HNW clients
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