There has been an increase in notices of hearings and bulk track cases because firms’ compliance departments have improved their detection and reporting of non-compliance
Dow surges more than 200 points
The breaches include numerous administrative, accounting, compliance and oversight failures
The asset-management firm can now participate in the RIA’s board and various committees
Banks become more exposed to loss from mortgage defaults if an overheated market leads to a substantial drop in house prices
Compliance professionals must improve their training of approved persons on outside business activities to reduce risks for firms and their advisors
The tool assesses investors’ risk tolerance by asking them 15 questions that account for psychological and behavioural finance factors
The company’s CFO will be assigned new responsibilities after first-quarter results are filed next month
AGFiQ Asset Management aims to tailor product ideas in response to “specific client needs and outcomes”
Will Ontario and Nova Scotia deliver balanced budgets this Thursday?
The Ontario government announced a series of measures after home prices surged one-third in a year
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
The increase is part of an effort to beef up anti-money laundering measures
Accountant allegedly found assets used to lure investors to schemes
OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation
The pension fund's 50% share of the initial capital commitment is roughly $1.8 billion
Woodgate Financial Inc., Assante Financial Management Ltd., are among Focal's customers
Plus, a new TD partnership, and Toronto fintech becomes dark pool partner
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