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Ben Cheng to pay $400,000 in Amaya insider tipping settlement

Former Aston Hill fund manager agrees to testify as a witness for the OSC

Halifax, Nova Scotia, Waterfront

PlanPlus honours winners of the third annual Canada Financial Planning Awards

Paul Tyers, Jason Pereira and Sterling Rempel were recognized at the CIFPs annual conference in Halifax

  • By: IE Staff
  • June 15, 2018 June 15, 2018
  • 14:00
Canada Post Office exterior

CUPW calls for postal banking

Postal banking services would provide underserved communities with greater access to affordable financial services

Artificial intelligence concept

Unitholders approve change to Horizons robotics ETF

The ETFs underlying index, ticker symbol and management fee will change on June 29

  • By: IE Staff
  • June 15, 2018 June 15, 2018
  • 11:19
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FINRA initiative aims to transform registration

New technology will lead to enhanced efficiencies and reduced compliance costs for firms

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Harvest announces name changes for multiple ETFs

The new names feature the Harvest brand

  • By: IE Staff
  • June 15, 2018 June 14, 2018
  • 09:15
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OSC alleges Caldwell failed to fulfill its best execution obligations

Regulator to consider allegations against portfolio and investment manager at July 3 hearing

Stock market two boxing gloves with arrows with bull and bear

TSX finishes higher on strength of gold

Nasdaq closes at record high

Quebec National Assembly exterior

Quebec government passes Bill 141

The legislation will boost the ability of self-regulatory organizations to carry out their mandates

Prototype client account statement

CCIR releases model disclosure document for seg funds

Insurers will be able to adapt their disclosures to ensure consistency in language with insurance contracts and Fund Facts documents

  • June 14, 2018 June 14, 2018
  • 15:00
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Proposed derivatives business conduct rules an important milestone

CSA issues a second request for comment

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Former head of Crystal Wealth banned for misappropriating $11.8 million

The case highlights the lack of governance requirements for mutual funds that distribute securities in the exempt market

Silhouttes of Two Business People Having a Handshake

Fidelity fund brings growth and value styles together

Will Danoff and Joel Tillinghast to co-manage a new core equity strategy

  • By: IE Staff
  • June 14, 2018 June 14, 2018
  • 11:59

Split reactions to CSA proposals

Industry groups and investor advocates agreed on some of the proposed rules, but opinions were divided on the decision to allow embedded commissions to remain…

Scotiabank jumps to top spot in 2018 mobile banking scorecard

CIBC and National Bank slip to second and third place

Manulife cutting 700 jobs

The insurer will look to recruit top digital talent

Mark Sylvia elected as CLHIA’s 2018-19 chairman

The Empire Life president and CEO will work with the association’s board of directors

SuccessFinder appoints Charles Guay as president and COO

Financial services leader joins human resources technology company

  • By: IE Staff
  • June 20, 2018 June 20, 2018
  • 12:49

IMCO appoints chief investment officer

Jean Michel will design and oversee the firm’s global investment activities

  • By: IE Staff
  • June 20, 2018 June 20, 2018
  • 11:03

First Asset Canadian Energy Convertible Debenture Fund announces termination

The fund is now closed to new purchases

Horizons launches blockchain technology ETF

New ETF offers investors a diversified way to enter blockchain investing

  • June 21, 2018 June 21, 2018
  • 12:25

CI Investments announces risk rating changes

Lower ratings for three Sentry mutual funds

  • By: IE Staff
  • June 21, 2018 June 21, 2018
  • 11:00

MFDA approves settlement with Equity Associates

Mutual fund dealer fined $125,000 for compliance failings

  • By: IE Staff
  • June 22, 2018 June 22, 2018
  • 14:30

Opinion: CSA decision a big win for the industry

Dealers and advisors can breathe a sigh of relief that there is no blanket ban on trailer commissions and no statutory best interest standard

  • By: IE Staff
  • June 21, 2018 June 22, 2018
  • 10:05

CSA stands pat on embedded commissions

But regulators are banning DSCs and enhancing regulatory requirements for registrants to avoid situations that place them in a conflict of interest

TSX hits record high; Canadian dollar up

New York markets finished mixed

Higher energy prices keep inflation at 2.2% in May

Unexpectedly weak data on inflation, retail sales cloud central bank’s next step

TSX pulls back from record-high close

Loonie trades lower