The OSC has alleged the company, two former CEOs and the current CFO broke the law in their handling of a scandal involving falsified loan…
The proposal of an explicit ban on binary options doesn’t imply that current offerings of binary options in Canada are legal, the CSA states
The two mutual funds and one ETF seek to generate income from corporate and government bonds, dividend stocks, preferred shares, among others
Loonie drops to 14-month low
2016 client research project aims to explore what client segment would be most affected by the potential elimination of embedded commissions
The tipster informed the regulator of securities violations and helped the SEC in its subsequent investigation
The big European global trading and universal banks start reporting results next week
CRM2 has led to more questions from clients about MERs, so IFIC members would like to see this disclosed as part of an initiative the…
The new platform-agnostic system would make it possible for dealer firms to sell ETFs without having to set up the necessary compliance and back-office infrastructure
The firm will be cutting 1,500 positions, or 13% of its staff, including jobs involved in supporting advisors — but no advisors will be let…
The Canadian Public Accountability Board has expressed concern regarding denied access to inspect audit work performed in a foreign jurisdiction
Countries report challenges in implementing new disclosure requirements
CFP and FPSC level 1 examinations take place across Canada June 2
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