The U.S. FSOC has determined that GE Capital has effectively reduced its systemic importance to an acceptable level
The settlement is as a result of allegations that Sterling failed to investigate a client complaint and supervise a couple of reps properly
The US$6-million fine stems from the firm’s deficient reporting of trading data
The guidance calls on firms to undertake rigorous testing and to instil a culture of cyber risk awareness, among other things
The new rule aims to minimize client and investor harm in case a firm cannot prevent major disruptions to its operations
This year’s guidelines come at a time at which the CSA is currently working on a standardized methodology for measuring and reporting risk to investors
Easier access to preferred fee level; portfolio management changes for two equity pools
Caroline Meyers has been ordered to spend two years in jail while her co-accused received an 18-month conditional sentence and permanent ban
Bank revising rate outlook in response to U.K. referendum
Objectives and strategies remain the same
IOSCO and CPMI cite progress toward stability of market infrastructures
Consortium of European companies creates “openfunds” project to improve transparency
Rents are still 12.9% higher than levels seen before the Covid pandemic
They rose 2.3% in 2025, while business insolvencies fell by 21.8%
Precious metals action calms, while Dow Jones tops 50K
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
187 mutual funds, 117 ETFs and 114 seg funds were recognized
GoSmart targets newer investors, excludes mutual funds, GICs, bonds, options
Plus, GreenShield buys Kii Health's Canadian mental health services segment
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