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Friday May 04, 2018
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From the Regulators
IIROC reports decline in enforcement activity for 2017
The SRO’s latest annual enforcement report reveals that a new authority in Ontario for IIROC to enforce disciplinary orders in the courts already is having an impact
May 4, 2018

From the Regulators
ASC gives green light to no-contest settlements
Enforcement tool enables regulators to resolve cases more quickly
May 4, 2018

Products
Canadian ETFs attract $706 million in AUM in April
The big winners in the month were U.S. and international equity ETFs while Canadian equity ETFs saw outflows of $391 million
May 4, 2018

From the Regulators
MFDA fines, bans former mutual fund rep
David Hamilton Cudmore was terminated following accusations he was “engaged in irregular and potentially unethical business practices”
May 4, 2018

Research and Markets
TSX surges more than 100 points to end the week
May 4, 2018

From the Regulators
Regulators issue proposed guidance for insurers, advisors
May 3, 2018

Products
BMO Investments to introduce six new funds
May 4, 2018

Products
Risk ratings lowered for some BMO private portfolios
May 4, 2018

People
Kindred CU CEO, Alterna rep honoured with award
May 4, 2018

Research and Markets
U.S. unemployment rate at lowest level since 2000
May 4, 2018

Industry News
RBC hosts first global Trade for the Kids
May 4, 2018

Appointment Notices
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