CSA provides compliance flexibility
Guidance aims to allow more tailored setups for compliance officers
- By: James Langton
- July 2, 2020 July 2, 2020
- 13:08
Top Stories in News
Helping out harmed investors
NASAA aids states in developing victim assistance funds
- By: James Langton
- July 2, 2020 July 2, 2020
- 13:06
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
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
Sagicor Financial calls off deal with Scotiabank in Trinidad and Tobago
Financial terms of the sale were not disclosed
- By: Canadian Press
- July 2, 2020 July 2, 2020
- 10:48
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
- By: Jake Kivanc, Canadian Press
- July 2, 2020 July 2, 2020
- 10:28
Fund dealer settles complaints-handling case
Firm has compensated clients, enhanced compliance
- By: James Langton
- July 2, 2020 July 2, 2020
- 10:16
Pilot to study trading-fee rebates scrapped
A court ruling against the SEC has implications for Canada
- By: Greg Dalgetty
- July 2, 2020 July 2, 2020
- 09:38
Global equity markets see first-half surge
Strong secondary offering activity outpaced a weak IPO market
- By: James Langton
- June 30, 2020 June 30, 2020
- 17:26
Global debt markets see record action in 2020
Debt issuance surges as the economy crumbles
- By: James Langton
- June 30, 2020 June 30, 2020
- 17:05
Alberta downgraded to AA- by Fitch
Pandemic pressure on provincial finances drives the shift
- By: James Langton
- June 30, 2020 June 30, 2020
- 16:16
Court orders probation for trading ban violation
Woman pleaded guilty to violating BCSC prohibition
- By: James Langton
- June 30, 2020 June 30, 2020
- 15:59
Industry applauds, investors lament new “best interest” standards
Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct
- By: James Langton
- June 30, 2020 June 30, 2020
- 15:03
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
- By: James Langton
- June 29, 2020 June 29, 2020
- 13:29
Krembil, Jensen headline IIAC’s Hall of Fame class
Annual induction ceremony postponed due to pandemic
- By: James Langton
- July 3, 2020 July 3, 2020
- 14:34
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
- By: James Langton
- July 3, 2020 July 3, 2020
- 13:19
The Bank of Canada doesn’t need your account number
Central bank warns about fraudsters posing as employees
- By: James Langton
- July 3, 2020 July 3, 2020
- 11:07
Rep loses registration bid for keeping DUI charge secret
Despite being acquitted, failure to disclose charge thwarts registration
- By: James Langton
- July 2, 2020 July 3, 2020
- 17:15
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
- By: James Langton
- July 3, 2020 July 3, 2020
- 12:09
Economic risks tilted to the downside: Fitch
Unexpected return to weakness more likely than a robust recovery
- By: James Langton
- July 3, 2020 July 3, 2020
- 11:05
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
- By: Grant McIntyre
- March 16, 2020 March 17, 2020
- 17:22
SEC warns of new digital offerings
So-called IEOs may be rife with the same misconduct associated with ICOs
- By: James Langton
- January 14, 2020 January 14, 2020
- 15:11