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
Housing starts forecast to drop to 247,000 this year as costs, inventories rise
Economists had expected a 0.4% increase
Chip, software companies up as 'bargain hunters' step in
Unique provision aims to balance interests, provide greater certainty
Agency seeks feedback on new due diligence standards, enforcement
Regulators flag retail investor issues, market structure, resilience for 2026
$10M capital gains exemption for sellers set to expire at end of this year
Aging client base, different registered accounts are changing how advisors see RRSP season
187 mutual funds, 117 ETFs and 114 seg funds were recognized
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
Fees, ease of access are key considerations for investors when selecting an ETF
Plus, National Bank changes diversified equity fund
Net monthly ETF inflows reach $22B in January: report