Morgan Stanley failed to safeguard customer data, SEC finds
Firm agrees to pay US$1 million penalty
- By: James Langton
- June 8, 2016 December 19, 2017
- 03:30
Firm agrees to pay US$1 million penalty
Land use planning should incorporate First Nations’ knowledge to indicate where development can occur and profit sharing must also take place
Investors in Sun Life MFS Balanced Value Fund and Sun Life MFS Balanced Growth Fund will receive units of Sun Life Granite Balanced Portfolio
Wealth managers must seek new ways to build their business in light of slowing growth in financial wealth around the world
The Supreme Court’s decision affirms solicitor-client privilege as “a principle of fundamental justice”
The province is calling on private sector businesses to establish a 30% target for women representation on their boards in wake of new Catalyst Canada…
New guidelines are being introduced so that issuers provide disclosure that does not mislead investors
Evgueni Ivonov Todorov has also been charged with unregistered trading, trading with a prospectus and trading while prohibited
Bringing up RI and what it represents is a good way to connect with demographics that are seeing their wealth increase, experts suggest
The life insurer’s 2018 Elite Producers’ Conference will be its last after a report from CLHIA advised that such conferences contribute to a “perception of…
Index firm aims to enhance investors’ access to data on corporate sustainability
The scam involves an individual claiming to be a representative of the U.S. Treasury Department’s Financial Crimes Enforcement Network
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