The firm spent $2 million on a conference that violated the rules and included lavish gifts for reps, including Dom Perignon, jewelry and golf outings
A monthly update on recent regulatory events and upcoming deadlines
It’s too early to predict how the regulatory landscape will evolve under the Trump administration
New guidance aims to ensure harmonized implementation of the new regime
A former manager must be reinstated and paid an award of US$5.4 million for being terminated after reporting suspected fraud at the U.S. bank
SumOfUs is calling on the bank’s shareholders to support a bid for greater transparency surrounding the bank’s lobbying efforts
There was a 92% increase in the number of IPOs and a 146% increase in value compared with Q1 2016, representing the best Q1 since…
Steer clear of these missteps to ensure your clients don’t end up with irreparable damage to their financial plans
The obligation for advisors to provide retirement advice that puts clients’ best interests first will now kick in on June 10
U.S. bank Wells Fargo publicly apologized and paid large penalties after it came to light that its employees had opened millions of unauthorized accounts and…
Wall Street mostly flat; loonie dips
The group is asking the CSA in an open letter to step up its oversight and ensure bank-based advisors are meeting their regulatory obligations
Much of the worry around free trade stems from the fact that technological progress is changing the economy and, in some cases, eliminating jobs, Porter…
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