Rep sanctioned after ignoring clients’ red flags
Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says
- By: James Langton
- September 19, 2022 September 19, 2022
- 14:44
Disregarding signs of suspicious trading amounts to failed gatekeeper responsibilities, settlement says
The central bank is taking the step to support the European Union's climate goals
Both mortgage and non-mortgage debt grew at slower rates in July, StatsCan reported
Prices for industrial and raw materials eased, led by energy products
Significant product changes offer opportunities to engage clients, get to know them better and address suitability
Indicators get wonky during the transition between low- and high-inflation periods, research finds
Fees, expenses surging ahead of IIROC-MFDA amalgamation
Karen McGuinness appointed as president and CEO
Portfolio inflows resumed in July after a lull in June
Fed should be able to stick with 75 bps hike next week, BMO says
Textiles down 13.2%, machinery up 1.6%
Despite the drop, the statistics still represent historic highs, according to economist
Open banking has the potential to automate onboarding, allow for fee comparison and improve risk assessments
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
Plus, GreenShield buys Kii Health's Canadian mental health services segment
The honours will be presented Feb. 12, at the association's Embrace the Challenge event
Start with flexibility, tax efficiency, simplicity
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