IIROC bans former advisor permanently
Wasseem Dirani was also fined $266,000 for misappropriating money from clients, among other regulatory violations
- By: James Morton
- March 3, 2016 December 19, 2017
- 07:55
Top Stories in News
Energy firms face record liquidity pressure: Moody’s
February was the biggest month ever for liquidity downgrades as 10 companies had their ratings cut to the lowest level
- By: James Langton
- March 2, 2016 March 2, 2016
- 16:50
ICE acquiring two securities pricing businesses
The deal will enable ICE to offer customers new data and valuation services
- By: James Langton
- March 2, 2016 March 2, 2016
- 16:45
Marijuana-based equity crowdfunding portal set to launch
Bay Street Canabis will provide legal cannabis-related businesses with a venue to raise capital
- By: James Langton
- March 2, 2016 March 2, 2016
- 16:40
Court rejects investors’ appeal to move case to Ontario
The investors allege that their broker mismanaged their accounts and that the firm is vicariously liable
- By: James Langton
- March 2, 2016 March 2, 2016
- 16:25
Sprott expands its U.S. presence
The firm’s American division is opening an office in New York and has hired a new executive
- By: IE Staff
- March 2, 2016 March 2, 2016
- 16:15
Research finds prevalence of advisor misconduct in the U.S.
About one-third of advisors with misconduct records are repeat offenders, who are five times more likely to engage in misconduct
- By: James Langton
- March 2, 2016 March 2, 2016
- 15:50
Budget 2016: Expect changes to the taxation of stock options
Jamie Golombek, managing director of tax and estate planning, CIBC wealth advisory services, discusses the 2016 federal budget and the changes it may bring to…
- By: Jamie Golombek
- March 2, 2016 January 21, 2018
- 15:16
Russell Investments launches new multi-asset product
Russell Multi-Asset Growth Strategy aims to achieve equities-like returns but with lower volatility
- By: Tessie Sanci
- March 2, 2016 October 15, 2019
- 13:55
CWB completes acquisition of Ontario firm
The addition of Maxium Financial and Desante Financial will broaden CWB’s business mix in specialized finance markets
- By: Tessie Sanci
- March 2, 2016 March 2, 2016
- 12:50
IOSCO report touts misconduct as a key threat
Harmful conduct in retail markets can include investment fraud, negligence and mis-selling of complex, structured retail products
- By: James Langton
- March 2, 2016 December 19, 2017
- 12:45
Big global banks meeting Basel III requirements
A new review from the Basel Committee indicates that banks are meeting their basic common equity Tier 1 capital requirements
- By: James Langton
- March 2, 2016 December 19, 2017
- 11:20
New managing director for Canaccord’s Canadian investment banking arm
According to an internal memo, Jason Robertson steps into the position after having worked as head of GMP Securities’ diversified investment-banking group
- By: Fiona Collie
- March 2, 2016 October 11, 2019
- 11:05
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