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TD Waterhouse Canada fined $140,000 for failing to oversee advisor’s trading

The advisor used an active trading strategy to produce more than $1 million in commissions from trading for three senior clients over five years

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Evolve launches actively managed global fixed-income ETF

Investment manager Allianz Global Investors is acting as subadvisor

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Canaccord continues to grow advisor roster

The firm has added 16 advisory teams from a year ago while client AUA rose by 54.3% year-over-year

  • By: IE Staff
  • November 14, 2018 November 14, 2018
  • 11:04
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Canadian pension managers liquidity improves substantially: Moody’s

A combination of factors is responsible for the improvement

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TDAM introduces three actively managed ETFs

New funds invest in preferred shares and corporate bonds

Judge gavel, scales of justice and law books in court

Ontario trio charged with securities fraud

One of the men was permanently banned by the OSC in 2008

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Weaker oil weighs on TSX

Dow sheds 100 points

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MFDA rolling out cybersecurity assessment program

The program offers mutual fund dealers assessments of their cybersecurity practices and advice on improving their defences

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IIROC to begin publishing Bankers’ Acceptance rates

IIROC will publish one- and three-month BA rates on its website beginning in January 2019

MX guidelines clarify new rules for approving market participants

The definition of an “approved person” was amended in July

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NEI makes changes to mutual fund lineup

Preferred pricing program expands to cover more funds

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Wealthy millennials will reshape philanthropic giving

Millennials are more than twice as likely as boomers to feel that leaving a legacy is important

Overhead view of young business men shaking hands

Canadian executives pressing pause on M&A: survey

Although most are confident about the economy, they are cautious about deal-making

FSB releases 2018 list of global systemically important banks

Royal Bank is Canada’s only bank on the list of G-SIBs

LionGuard becomes a signatory of UN PRI

Montreal firm shows its commitment to sustainable investment practices

Investors may have an unrealistic understanding of risk and return: survey

Majority say they would choose safety over investment performance

  • By: Leah Golob
  • November 16, 2018 November 16, 2018
  • 06:00

PMAC announces 2018-2019 board of directors

Denys Calvin of Nexus investment Management elected chairman

  • By: IE Staff
  • November 15, 2018 November 15, 2018
  • 11:00

Cary List honoured with credentialing industry award

FPSC president and CEO recognized as an innovative leader

RBC Wealth Management partners with David Chilton

Personal finance author will help raise awareness about estate planning options

RBCGAM to lower admin fees for emerging markets bond fund

The changes take effect Jan. 1, 2019

TDAM to rename three equity ETFs

The new names will take effect on Nov. 20

Dynamic Funds announces lower risk ratings

New risk ratings for 37 mutual funds

  • By: IE Staff
  • November 15, 2018 November 15, 2018
  • 14:10

FSB report finds progress on reducing the “to-big-to-fail” problem

Board consults on financial resources to support CCP resolution

Ontario to review advisor proficiency and oversight

New government voices its support for the CMRA and the planned new provincial regulator for insurance, pensions, and deposits

IOSCO seeks feedback on proposed framework for assessing leverage in investment funds

Proposed framework allows flexibility for jurisdictions to determine the most appropriate risk assessment to adopt for their markets

TSX ends down week higher

Oil posts sixth straight week of falling prices

TSX raising listing fees for large companies

Maximum annual listing fee rises to $125,000

Highlights of the Ontario government’s fall economic statement

The Progressive Conservatives are halting or reversing some of the previous government’s tax changes