A single system will replace SEDAR, SEDI, NRD, the cease-trade order database, and the national registration search and discipline list
A new survey finds almost all jurisdictions require public companies to have independent audit committees that act in the interest of investors
Guidance says dealers and reps have an important role in preventing financial exploitation
The two banks have more than doubled the fintech firm’s debt facility to $125 million from its previous level of $50 million
The firm will provide custody, ETF servicing and investment information delivery for Mackenzie’s four fixed-income ETFs
Document provides guidance on the new reports that dealers must start providing to clients
The new model won’t push fees up as much as initially expected
Qtrade will provide the credit union and its subsidiary access to its full-service platform for investment services
Measure will further streamline enforcement processes
Changes to the fees for each of TSX, TSX Venture and TSX Alpha Exchange take effect on June 1
The bank joins as a sustaining member while its brokerage arm, CIBC Wood Gundy, will be identified as an associate member
Although no clients lost money because of the advisor’s recommendations, an IIROC hearing panel said conflicts cannot be tolerated
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