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CSA provides compliance flexibility

Guidance aims to allow more tailored setups for compliance officers

Closeup of mallet being hit on stacked coins at table in courtroom

Helping out harmed investors

NASAA aids states in developing victim assistance funds

Green figgy bank with calculator

New USD high-interest savings ETF from Horizons

High-interest savings ETFs have proven to be popular with investors this year

  • By: IE Staff
  • July 2, 2020 July 2, 2020
  • 12:12
Close up of Business people shaking hands, finishing up meeting, business etiquette, congratulation, merger and acquisition concept

Hub International continues buying spree

Global insurance brokerage acquires Ivari's life insurance product managing general agent business

  • By: IE Staff
  • July 2, 2020 July 2, 2020
  • 11:00
Bank of Nova Scotia main branch in Calgary, Alberta

Sagicor Financial calls off deal with Scotiabank in Trinidad and Tobago

Financial terms of the sale were not disclosed

Downtown office buildings Toronto

Canada’s five big banks join anti-hate advertising boycott of Facebook

Scotiabank, RBC, CIBC, BMO and TD have pledged to stop purchasing ads on the site for the month

Closeup of mallet being hit on stacked coins at table in courtroom

Fund dealer settles complaints-handling case

Firm has compensated clients, enhanced compliance

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Pilot to study trading-fee rebates scrapped

A court ruling against the SEC has implications for Canada

Stock exchange board with abstract background

Global equity markets see first-half surge

Strong secondary offering activity outpaced a weak IPO market

usinessman analyzing investment charts with laptop

Global debt markets see record action in 2020

Debt issuance surges as the economy crumbles

Alberta downgraded to AA- by Fitch

Pandemic pressure on provincial finances drives the shift

Law.

Court orders probation for trading ban violation

Woman pleaded guilty to violating BCSC prohibition

suspicious client

Industry applauds, investors lament new “best interest” standards

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

Bank of Canada partners with BIS on Toronto innovation hub

The new facility will be one of four locations in North America and Europe

  • By: IE Staff
  • June 30, 2020 June 30, 2020
  • 11:35

Canadian ETF Association appoints new vice-chair

CETFA unveiled its board for 2020-21 at its annual general meeting

  • By: IE Staff
  • June 30, 2020 June 30, 2020
  • 09:33

U.K. group issues climate guide for financial firms

The Climate Financial Risk Forum's guide helps firms understand risks

Krembil, Jensen headline IIAC’s Hall of Fame class

Annual induction ceremony postponed due to pandemic

AIMco names new board chair

Mark Wiseman, former head of the CPPIB, takes over on July 1

  • By: IE Staff
  • June 22, 2020 June 22, 2020
  • 15:13

FP Canada appoints new additions to management team

Craig MacLennan and Kristen McElhone join FP Canada's management team

  • By: IE Staff
  • June 17, 2020 June 18, 2020
  • 12:20

New liquid alt fund from Waratah

Fund focuses on environmental, social and governance criteria

  • By: IE Staff
  • June 29, 2020 June 29, 2020
  • 10:54

New Bridgehouse fund invests in “compounders”

The firm has also lowered fees on a balanced income fund

  • By: IE Staff
  • June 26, 2020 June 26, 2020
  • 13:46

CIBC lowers investment minimums

Passive portfolios see their investment minimums reduced significantly

  • By: IE Staff
  • June 25, 2020 June 25, 2020
  • 12:09

Richardson GMP sanctioned over supervisory failures

Firm admitted to lapses in oversight involving two reps as well as its options trading system

The Bank of Canada doesn’t need your account number

Central bank warns about fraudsters posing as employees

Rep loses registration bid for keeping DUI charge secret

Despite being acquitted, failure to disclose charge thwarts registration

Despite pandemic responses, insurers will struggle

Updated GlobalData forecasts point to widespread growth contractions in Canada

  • By: IE Staff
  • July 3, 2020 July 3, 2020
  • 12:52

Tougher conditions to likely drive higher mortgage defaults: DBRS

Mortgage credit quality is highly correlated to jobs and house prices

Economic risks tilted to the downside: Fitch

Unexpected return to weakness more likely than a robust recovery

Want Investment Executive delivered to your home?

Address change would be temporary until quarantine efforts are lifted

  • By: IE Staff
  • April 1, 2020 May 13, 2020
  • 10:21

Keep calm and listen to your clients

We haven’t been through anything like this, but we’ve been through similar crises and recovered

SEC warns of new digital offerings

So-called IEOs may be rife with the same misconduct associated with ICOs