FINRA proposals would strengthen controls on high-risk brokers
Forthcoming proposals will include enhanced disclosure, heightened supervision
- By: James Langton
- May 11, 2017 March 1, 2019
- 14:45
Forthcoming proposals will include enhanced disclosure, heightened supervision
Regulators have approved the final prospectus for Excel Global Balanced Asset Allocation ETF and Excel Global Growth Asset Allocation ETF
Jeffrey Orr says he’s optimistic about the company’s growth prospects
Invisor is introducing a new digital insurance platform for clients to buy term life insurance policies up to $500,000
The changes are being implemented in response to customer demand
Despite alignment on several issues, best interest standard remains a key point of divergence
Green bond issuance rose 60% in 2016 to US$113 billion
Former MDC Partners CEO Miles Nadal agrees to pay US$5.5 million to settle charges
The new series for PowerShares Senior Loan Index ETF provide a choice between unhedged units denominated in both U.S. and Canadian dollars
Continued growth in Canadian consumer debt and elevated housing prices leaves consumers and banks more vulnerable
Court rules that proposed mechanism for amending securities laws “fetters the parliamentary sovereignty of the participating provinces
Canadian dollar moves higher; U.S. markets mixed
A compliance sweep the ASC carried out on 66 exempt-market dealers found deficiencies in every area the regulator examined
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