Deterring illegal insider trading a top priority for AMF enforcement
The Quebec securities regulator ordered sanctions totalling more than $8.5 million in 2015
- By: James Langton
- March 16, 2016 December 19, 2017
- 13:50
Top Stories in News
Firms rethink succession, compensation to combat “star manager” departures: report
Asset management firms are trying to shift from stars to investment teams
- By: James Langton
- March 16, 2016 October 15, 2019
- 12:30
Raymond James expands its investment banking team
The brokerage firm has hired Ross Prokopy from GMP Securities to enhance the capabilities of the Raymond James energy team
- By: Tessie Sanci
- March 16, 2016 October 11, 2019
- 11:30
Montreal Exchange to launch C$ interest rate swap futures
The new swap futures contracts will be available for trading on the MX in September subject to self-certification of the product
- By: Tessie Sanci
- March 16, 2016 October 15, 2019
- 11:00
U.S. fiduciary rule will lead to innovation: report
The DOL rule’s impact will likely vary based on a firm’s size and the sales channel it occupies
- By: James Langton
- March 16, 2016 March 16, 2016
- 10:45
Research and Markets
EBA report highlights wide asset quality gaps across European banks: Moody’s
Spanish banks have one of the highest percentages of forborne loans
- By: James Langton
- March 16, 2016 March 16, 2016
- 10:00
From the Regulators
PCAOB sanctions five broker-dealer audit firms
The orders reflect the U.S. audit regulator’s commitment to enforcing basic independence requirements
- By: James Langton
- March 15, 2016 December 19, 2017
- 16:40
Team from Conestoga College claims top prize at CIFP Case Challenge’s eastern edition
Eight team of college students participated in the eastern challenge while a team from Northern Alberta Institute of Technology won first place in the western…
- By: Tessie Sanci
- March 15, 2016 March 15, 2016
- 15:50
Industry News
NYSE completes regulatory transition
Exchange appoints Anthony Albanese as chief regulatory officer
- By: James Langton
- March 15, 2016 March 15, 2016
- 14:15
Research and Markets
Canadian fund managers combine forces in joint bid for Aussie rail, port group
Brookfield Asset Management, CPPIB and B.C. Investment Management are part of the initiative
- By: The Canadian Press
- March 15, 2016 March 15, 2016
- 13:20
Aston Hill announces fund mergers
The firm has also announced that Ben Cheng, chief investment officer, will assume lead portfolio manager responsibilities for the two remaining funds
- By: Tessie Sanci
- March 15, 2016 October 15, 2019
- 11:40
U.K. man sentenced for failing to pay confiscation order
IIROC looks to the courts to boost its collection rate in Ontario
- By: James Langton
- March 15, 2016 December 19, 2017
- 11:30
AI names push stock markets higher on Friday
'Hot print' from Micron Technologies boosted enthusiasm for tech stocks, says portfolio manager
- By: Daniel Johnson, The Canadian Press
- December 19, 2025 December 19, 2025
- 17:15
Wage growth slowing, ECB data shows
Central bank sees slowdown in wage gains from collective agreements
- By: James Langton
- December 19, 2025 December 19, 2025
- 16:43
Bank of Japan hikes policy rate
Rise in benchmark short-term rate to 0.75% is aimed at curbing inflation
- By: Elaine Kurtenbach, The Associated Press
- December 19, 2025 December 19, 2025
- 09:38
SEC sanctions Canadian over pump-and-dumps
Accountant allegedly found assets used to lure investors to schemes
- By: James Langton
- December 19, 2025 December 19, 2025
- 15:39
Executive banned in failed real estate scheme
OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation
- By: James Langton
- December 19, 2025 December 19, 2025
- 14:56
SEC sanctions key figures in FTX scandal
Execs that previously pleaded guilty in fraud case accept regulatory sanctions
- By: James Langton
- December 19, 2025 December 19, 2025
- 13:42
Industry moves: Michelle Connolly joins Q Wealth
Plus, Raymond James gains Richardson advisor, and promotions at BMO, CI GAM, Wellington-Altus and more
- By: Alisha Hiyate
- December 19, 2025 December 19, 2025
- 16:50
ASC extends safe harbour regime to climate-related disclosures
Provincial regulator can halt trading when misinformation circulates
- By: Jonathan Got
- December 19, 2025 December 19, 2025
- 10:47
FP Canada releases CFP, QAFP exam results for October
QAFP exam has one more sitting before title protection transition ends
- By: IE Staff
- December 18, 2025 December 18, 2025
- 13:08
Industry moves: Richardson Wealth, CIBC Wood Gundy and CI Assante score veteran teams
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
- By: Alisha Hiyate
- October 3, 2025 November 12, 2025
- 17:39
Industry moves: John MacIntyre named chair of TD Bank
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
- By: Alisha Hiyate
- August 4, 2025 August 1, 2025
- 00:33
Industry moves: Huston Loke leaves FSRA
Plus, moves at BMO Private Wealth, Fiera Capital and CIBC GAM
- By: Alisha Hiyate
- July 18, 2025 July 18, 2025
- 17:06
Investment fund sales, assets climbed in November: SIMA
Mutual fund, ETF AUM rose for the seventh consecutive month
- By: Noushin Ziafati
- December 19, 2025 December 19, 2025
- 11:58
Product roundup: Ardian brings evergreen PE fund to Canada
Plus, other product launches and news, including more ESG fund terminations
- By: Noushin Ziafati
- December 15, 2025 December 16, 2025
- 11:29
The ETF year in review
More than 300 new products landed in 2025 — a new record
- By: Rudy Luukko
- December 12, 2025 December 12, 2025
- 13:24