SEC seeks expansion of SRO oversight
Proposal would narrow exemption from FINRA for prop trading firms
- By: James Langton
- July 29, 2022 July 29, 2022
- 16:14
Proposal would narrow exemption from FINRA for prop trading firms
Fed, FDIC order Voyager Digital to stop statements on deposit insurance
Reviews find significant improvement in climate reporting, but also substantial shortcomings
More than three in four Canadian sustainable equity funds underperformed their category peers in Q2
Public debt charges up 44.2%
ING warns of ‘no imminent signs of relief’ as energy prices rise nearly 40% in eurozone
StatsCan estimates 4.6% Q2 growth; manufacturing and construction saw the largest declines in May
Enforcement penalties will be used to help fund the new SRO
Report from the parliamentary budget officer also finds that Canada’s debt level is sustainable over the long term
A panel reluctantly ordered less than full disgorgement of the ill-gotten gains
Payroll employment dipped as job vacancies remain high
'Hot print' from Micron Technologies boosted enthusiasm for tech stocks, says portfolio manager
Central bank sees slowdown in wage gains from collective agreements
Rise in benchmark short-term rate to 0.75% is aimed at curbing inflation
Accountant allegedly found assets used to lure investors to schemes
OSC forgoes monetary sanctions, amid bankruptcy, ongoing litigation
Execs that previously pleaded guilty in fraud case accept regulatory sanctions
Plus, Raymond James gains Richardson advisor, and promotions at BMO, CI GAM, Wellington-Altus and more
Provincial regulator can halt trading when misinformation circulates
QAFP exam has one more sitting before title protection transition ends
Plus, Wellington-Alus Private Counsel and Ninepoint Partners add new talent
Also, moves at Mackenzie Investments, Edward Jones Canada and the CSA
Plus, moves at BMO Private Wealth, Fiera Capital and CIBC GAM
Mutual fund, ETF AUM rose for the seventh consecutive month
Plus, other product launches and news, including more ESG fund terminations
More than 300 new products landed in 2025 — a new record