Investment Executive AM newsletter

Friday November 08, 2019
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From the Regulators
U.S. firms to pay back overcharged clients, FINRA says
Firms allegedly charged excess fees on education savings plans
November 6, 2019

From the Regulators
Enforcement action, sanctions surge in 2019, SEC reports
The increases came in spite of the U.S. federal government shutdown
November 6, 2019

Industry News
iA Financial Group tops targets in Q3
The insurance and wealth management company saw EPS grow by 15% for a second straight quarter
November 6, 2019

Industry News
CPPIB steps up focus on climate change, board diversity
The pension board's annual report on sustainable investing focuses on climate risks
November 6, 2019

Research and Markets
TSX inches higher despite most Canadian companies missing expectations
S&P/TSX composite index closed up 12.11 points on Tuesday
November 5, 2019

From the Regulators
SEC seeks to toughen proxy rules
Proposals include stricter rules about proxy solicitation and shareholder proposals
November 5, 2019

Partner Reports

Partner Reports
Community Champion: Sylvain Lemieux
Sylvain Lemieux is from Montreal, Quebec, and is achieving a gold standard in client service.
November 4, 2019

Partners’ Place

Appointment Notices
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