Rep admits to unapproved discretionary trades
Settlement includes disgorgement, penalty and suspension
- By: James Langton
- February 27, 2024 February 28, 2024
- 17:21
Top Stories in News
Research and Markets
Identity, mortgage fraud on the rise: Equifax survey
Fraudsters take advantage of economic vulnerabilities, credit reporting agency says
- By: The Canadian Press
- February 27, 2024 February 27, 2024
- 16:12
From the Regulators
FCA promises faster, more transparent enforcement
U.K. regulator seeks to enhance deterrence, investor confidence
- By: James Langton
- February 27, 2024 February 27, 2024
- 15:47
From the Regulators
Reforms for money market funds need work: FSB
Progress to address liquidity mismatch has been uneven, review finds
- By: James Langton
- February 27, 2024 February 27, 2024
- 15:38
Pension funds improving modestly on climate but still too slow: report
Shift report downgrades CPPIB, gives AIMCo worst grade
- By: Ian Bickis, The Canadian Press
- February 27, 2024 February 27, 2024
- 15:26
Industry News
Scotiabank reports Q1 profit up as recession fears clear
The bank doesn't see a pickup in Canada until later this year
- By: Ian Bickis, The Canadian Press
- February 27, 2024 February 27, 2024
- 14:21
BMO reports revenue and profits constrained by “challenging economic backdrop”
Wealth management earned $240 million, up from $159 million a year earlier
- By: Ian Bickis, The Canadian Press
- February 27, 2024 February 27, 2024
- 14:08
What happens if a mutual fund trust loses its status?
The rare occurrence can affect eligibility for registered plans, but there’s relief for temporary situations
- By: Melissa Shin
- February 27, 2024 February 27, 2024
- 13:40
From the Regulators
Rep sanctioned for advising via Discord platform
Online posts amounted to securities-related business, CIRO panel found
- By: James Langton
- February 27, 2024 February 27, 2024
- 13:40
OSC awards tipster $1.5 million
Information expanded an investigation, helped protect investors
- By: James Langton
- February 27, 2024 February 27, 2024
- 13:14
Industry News
Wealthica offers consolidated reporting for family offices
The platform also launched a cost base calculator
- By: Jonathan Got
- February 27, 2024 March 18, 2024
- 12:34
BMO Insurance refines its underwriting questions
Targeted questions, simplified requirements are part of the changes
- By: IE Staff
- February 26, 2024 February 26, 2024
- 15:43
From the Regulators
CEO failed to report trades, BCSC alleges
No evidence that executive tried to hide insider trades
- By: James Langton
- February 26, 2024 February 26, 2024
- 14:58
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