With conduct rules looming, industry has work to do
CSA, SROs provide guidance on client-focused reforms requirements
- By: James Langton
- September 29, 2020 September 29, 2020
- 13:10
CSA, SROs provide guidance on client-focused reforms requirements
Flinks enables retrieval of client data across multiple platforms
Kevin Sullivan will support the revised terms and withdraw a slate of proposed directors
The investment manager has doubled down on renewable energy
Population aging continues, despite the impact of the virus on seniors
Relative to the size of the economy, the deficit amounts to 15% of gross domestic product
Getting marginalized groups better integrated in the workforce can help the government avoid raising tax rates
According to Morneau Sheppell, 13% of employers have already committed to freezing salaries next year
Corporate outsider who alerted regulator to misconduct gets latest payout
The regulator is restarting policy work that was paused due to pandemic
Targeted lockdowns are still more likely than a repeat of widespread shutdowns in the spring
The typical white family had eight times the wealth of Black families and five times the wealth of Hispanic families, a Fed report said
U.S. regulator alleges the firm engaged in unregistered trading of digital, physical assets
'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