FINRA launches high-tech rulebook
Initiative aims to streamline compliance, facilitate automation
- By: James Langton
- October 21, 2022 October 21, 2022
- 13:37
Initiative aims to streamline compliance, facilitate automation
The company failed to file accurate financial statements, the regulator alleges
With rampant inflation, public borrowing rose to 98% of economic output in September
Weaker consumer spending is expected ahead
Agency secured more than US$2.5 billion in monetary sanctions in fiscal 2022
Next year's limit can be calculated using CPI data released Wednesday
Binding authority, single banking complaint body demanded
Real estate will play "a significant role" in the downturn for some provinces, BMO chief economist says
More financing and advice is needed, a Scotiabank report suggests
Difficult period expected to extend into 2023
Scores were lowest for resolving complaints
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