An MFDA hearing panel says the full penalty matches the seriousness of the allegations, which were theft and borrowing from clients
Carla-Marie Aksomitis was found to have stolen approximately $119,000 from a total of 29 clients with Royal Mutual Funds and Royal Bank of Canada
Various countries in the region have taken different approaches to implementing Basel III
Quebec woman pled guilty to counselling 13 taxpayers to try to reduce or eliminate their income taxes by claiming improper expense reductions
The comment period is open until June 30
Proposed changes include a new website disclosure requirement and revisions for disclosing securities-based compensation
Christiane Bergevin, Dr. Milton McClaren and Joe Oliver will decide this year’s winner; nominations are being accepted until May 31
The well-known Montreal-based brokerage firm will continue to operate under the 3Macs brand as a division of Raymond James following the closing of the deal
Rising unemployment in Alberta and other oil-dependent provinces is leading to higher writeoffs in one bank’s credit card portfolio
Medical professionals in New York state will be educated to recognize if their elderly patients are victims of fraud — and how to report it
Invesco Global Bond Fund and Trimark Global Diversified Income Fund both aim to deliver income and growth for investors
Canada to adopt T+2 settlement on Sept. 5, 2017
The SRO’s new strategic plan points out it will look at a possible “best interest” standard and regulatory restructuring, among other key issues
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