SEC ramps up enforcement activity
Whistleblower tips and rewards continue to climb
- By: James Langton
- November 15, 2023 November 15, 2023
- 13:43
Whistleblower tips and rewards continue to climb
Auto sector leads gain in wholesale activity as inventories shrink
Other developments this week include cuts at Manulife and several advisor team moves
Inflation forcing some clients to withdraw assets to meet needs
Tribunal rules that misconduct involved securities
Panel found respondent couldn't mount proper defence without access to confidential evidence
CEO John Graham said the CPP offers the benefit of risk pooling and diversification
Firm is the latest to trim staff as economic uncertainty weighs
In Canada, wealth and asset management saw a 14% increase in profitability from a year earlier
Advisors can build intergenerational relationships to retain clients' children
The certification body also proposed a "monitor and review" practice standard
Manulife's Frances Donald warns that the current environment has made forecasting very difficult
Regulator investigating amid suspected trading misconduct
Precious metals action calms, while Dow Jones tops 50K
Report calls for action on data gaps, surveillance, leverage
Trade deficit remains unchanged amid shifting tariff policy, Fitch reports
Trust account used in fraud, misappropriation, Law Society finds
Policy failed to cover hedge fund investment that turned out to be a fraud
Firm allegedly touted stocks on social media, while selling its holdings
The honours will be presented Feb. 12, at the association's Embrace the Challenge event
Start with flexibility, tax efficiency, simplicity
Brokers, MGAs, software providers and TPAs set to evolve
Plus, moves at Our Family Office, Harvest ETFs, Manulife Wealth, Canada Life and more
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, National Bank changes diversified equity fund
Net monthly ETF inflows reach $22B in January: report
Plus, other firms launch new products, tweak their fund lineups