Rep sanctioned for overlooking red flags
CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading
- By: James Langton
- June 14, 2023 June 14, 2023
- 15:24
CIRO says rep failed to meet gatekeeper obligations by ignoring suspicious trading
Signals there could be two more hikes this year
Assets finish up in the fourth quarter, but down on the year
China's reopening powers GDP acceleration
Venture exchange plans series of initiatives to enhance appeal of public listing
Proposed deal ends with standstill agreement and executive changes
Deal adds investment counsel portfolio managers to Canada Life
Plus other moves within the industry this week
Proxy advice grounded in market input and client demand, firm says
The cash-alternative category of ETFs is low risk, but not all investors feel that way
Industry braces for technical challenges as new disclosures take effect
Population growth may be interfering with the BoC's efforts by propping up demand in the housing market
Tuesday's inflation figures arrive as Federal Reserve officials begin a pivotal two-day meeting
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