Firms’ AI adoption poses compliance challenges: FINRA
U.S. SRO highlights regulatory implications
- By: James Langton
- June 27, 2024 June 27, 2024
- 14:28
Top Stories in News
Legal action coming to recover Covid benefit overpayments: CRA
Actions may include taking payments from wages or bank accounts
- By: The Canadian Press
- June 27, 2024 June 27, 2024
- 14:10
U.S. Supreme Court curbs SEC authority
Fund manager denied right to a jury trial by internal tribunal, majority says
- By: James Langton
- June 27, 2024 June 27, 2024
- 13:58
Disability tax credit key to accessing range of benefits
Feds announce that adults with a valid DTC certificate can apply for new dental plan
- By: Rudy Mezzetta
- June 27, 2024 June 27, 2024
- 12:28
Advisor incorporation among CIRO’s priorities for 2025
SRO integration and investor protection also on the agenda
- By: James Langton
- June 26, 2024 June 26, 2024
- 16:56
From the Regulators
Who watches the watchers? Best practices for independent review committees
Fund managers should use the recent regulatory review as a means to improve their IRCs
- By: Melissa Shin
- June 26, 2024 July 18, 2024
- 16:41
From the Regulators
Crypto crime, but make it old school
Violent robbery crew targeted crypto investors
- By: James Langton
- June 26, 2024 June 26, 2024
- 14:16
Industry moves this week
Many leading women in the industry have taken on new roles
- By: Katie Keir
- June 26, 2024 June 26, 2024
- 14:07
First crypto securities fraud convicts sentenced
Crypto ruled a security by U.S. criminal jury for first time
- By: James Langton
- June 26, 2024 June 26, 2024
- 13:56
Interest costs crimping corporate profits: S&P
U.S. corporates' interest coverage continued decline in Q1
- By: James Langton
- June 26, 2024 June 26, 2024
- 13:42
Strong demand driving global housing markets: Fitch
Moderate price growth is forecast, and arrears is expected to rise slightly
- By: James Langton
- June 25, 2024 June 25, 2024
- 16:24
Manulife boosts key profit target at investor day in Hong Kong
Insurer has been working to shed assets with a low return on equity
- By: Ian Bickis, The Canadian Press
- June 25, 2024 June 25, 2024
- 15:41
Liberal government’s proposed capital gains tax changes come into effect
The measure proceeded despite significant pushback from business and physicians' groups
- By: Nojoud Al Mallees, Canadian Press
- June 25, 2024 June 25, 2024
- 15:33
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