Investment Executive AM newsletter

Wednesday October 02, 2019
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From the Regulators
BMO settles SEC conflict allegations
Investors allegedly weren't told that managed account products used proprietary funds
September 27, 2019

From the Regulators
Whistleblower tips feature prominently in CFTC enforcement
Latest tip leads to a US$7 million reward
September 27, 2019

From the Regulators
MX updates guidance on wash trading
A notice published Friday provides greater clarity on what constitutes wash trading
September 27, 2019

From the Regulators
Canadian firm settles U.S. bribery charges
Firm allegedly violated the U.S. Foreign Corrupt Practices Act
September 27, 2019

Research and Markets
Online commerce challenges CPI reporting
StatsCan notes that online prices have greater volatility than in-store prices
September 27, 2019

Research and Markets
Survey finds more clients are discussing fees with advisors
IFIC's annual investor survey sheds light on how CRM2 cost reporting impacts your client
September 27, 2019

From the Regulators
Active funds underperform due to higher costs, ESMA finds
September 27, 2019

Partner Reports
New ETF fund offers growth with less risk
Products counter equity volatility.
September 30, 2019

Appointment Notices
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