Consultation paper sets out proposed processes and analytical approaches for evaluating the effects of the reforms
But a resurgence in mega-deals led to a growth in capital invested to US$26.8 billion from US$25.5 billion in the corresponding quarter a year earlier
FCA publishes proposed guidance on “streamlined” advice for clients
The brokerage firm admitted to violating the trading rules by failing to properly supervise a direct access client
NEI Northwest Tactical Yield Fund will absorb NEI Northwest Macro Canadian Asset Allocation Fund and NEI Northwest Macro Canadian Asset Allocation Corporate Class.
Staff count will be halved as company focuses on precious metals and natural resources
Indices were flat in the U.S. as the DJIA, S&P 500 and the Nasdaq were barely changed
Global compliance executives say their firms will have to spend more to deal with risks associated with fraud and financial crime, cyberattacks and everyday business
The guidelines have also been revised to include sections relating to systemic supervisory failures, borrowing and lending arrangements and short interest reporting
The enforcement action is in connection with investment schemes that involved companies paying for deceptive, promotional articles touting their stocks
New report from the bank’s board finds that management “created pressure on employees to sell unwanted or unneeded products to customers”
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